![SEC Charges Five Advisory Firms for Custody Rule Violations SEC Charges Five Advisory Firms for Custody Rule Violations](https://www.lawfirmchronicle.com/wp-content/uploads/2023/09/SEC-C-qgjevx.jpeg)
SEC Charges Five Advisory Firms for Custody Rule Violations
Sep 5, 2023
The Securities and Exchange Commission today announced charges against five investment advisers for failing to comply with requirements related to the safekeeping of client assets. Three of the firms were also charged with failing to timely update SEC…
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