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Review of compliance with asset holding requirements in funds management and custodial services

report – 531

Released 22 June 2017

In 2016–17, ASIC reviewed a number of asset holders to assess compliance with Regulatory Guide 133 Managed investments and custodial or depository services: Holding assets (RG 133) and related instruments.

This report sets out the findings from our review, and recommendations for improving compliance.