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Custody Rule Violations and Compliance Gaps Drive SEC Order
SEC Releases Introduction On January 20, 2026, the SEC issued an administrative enforcement order against two RIAs (both wholly owned by the same parent corporation) […]
Read MoreRIA Charged for Custody Rule Violations
SEC Releases Introduction The SEC charged an RIA on August 1st, 2025, for failing to comply with the independent verification requirements for Firms maintaining custody […]
Read More3 SEC Charges | Marketing Rule, Recordkeeping, and Custody Rule
SEC RELEASES Introduction September 3rd, 2024 was a busy day for SEC Enforcement. There were Recordkeeping failures amongst six Credit Rating Agencies that saw more […]
Read MoreCustody Rule Violations | Will Clark Insights
VIGILANT INSIGHTS Introduction A New York Firm was charged $75,000 for allegedly violating custody and compliance rules in relation to their audited financial statements. The […]
Read More5 Advisory Firms Charged for Custody Rule Violations
SEC Releases Brief Introduction On September 5th, the SEC announced charges against five investment advisers for Custody Rule violations. The SEC requires compliance with the Custody Rule and the […]
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