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SEC Fines Adviser, CEO For Repeat Custody Rule Violations

By Emilie Ruscoe ( September 1, 2023, 9:49 PM EDT) -- A New York City investment advisory firm and its CEO will pay a total of $300,000 to settle U.S. Securities and Exchange Commission claims that they violated rules governing the safekeeping of client assets, just three years after being fined for the same issue, the agency said Friday....

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