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EXCERPTS FROM RELEVANT STATUTES
CUSTODY PROXY VOTING SUITABILITY
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access persons account statements Adopting Release advertisement adviser's Advisers Act Release advisory clients advisory contracts advisory fees advisory services affiliated amendment attorney-client privilege audited broker-dealer brokerage Cambiar Cambiar Investors Chief Compliance Officer client assets client funds client's account compliance program conflict Counsel custody of client Custody Rule Deutsche Asset Management disclose disclosure Division of Investment e-mails ensure examination fiduciary Form ADV Form ADV-W fund of funds funds or securities Goldstein Opinion hedge fund advisers inspection staff Investment Advisers Act investment guidelines Investment Management investment performance investors issues mutual fund no-action OCIE offshore fund partial client list participating policies and procedures pooled investment private fund prohibited proposed satisfaction guarantee prospective client Proxy Rule proxy voting Prudential Financial qualified custodian recommend enforcement action refund registered investment adviser request response SEC staff Section survey testimonial third party transactions vote proxies