Custody Rule Violations Archives

3 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 […]

Custody 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 […]

5 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 […]