SEC Gets Serious About Custody Rule. It Just Fined 5 Firms for Violations

The Securities and Exchange Commission has settled allegations of violations of its Custody Rule with five registered investment advisors working with private funds. It is the latest sign that the issue remains a top compliance priority as the agency moves forward with an expansion of the rule’s…#adv

Source: Reuters: Health - September 6, 2023 Category: Consumer Health News Source Type: news