Tag: Custody Rule
Investment Adviser Fined $75,000 for Custody Rule Violations
Investment Adviser Fined $75,000 for Custody Rule Violations September 18, 2020 The SEC settled an enforcement action with a New York City-based investment advisory firm for violations of the...
September 18, 2020
Tags: Custody Rule, SEC Enforcement
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
