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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 MoreCustody Rule and Disclosure Violations
SEC Releases Introduction The SEC obtained a final judgement against a New York RIA this month (June, 2025) for failing to comply with Commission requirements […]
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 […]
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