News May 12, 2014 Issue

Examiner Discovery of More than $750,000 in Missing Assets Leads to Custody Rule Charges

It�s not easy to hide a loss of more than $750,000 in client assets from examiners. Nor is it a good idea to try.

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Proskauer law firm partner and former SEC Division of Investment Management deputy director Robert Plaze on why the costs of non-compliance go way beyond an SEC penalty.

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News May 12, 2014 Issue

Examiner Discovery of More than $750,000 in Missing Assets Leads to Custody Rule Charges

Full contents of this article are only available to paid subscribers.

Subscriber Log In

Current Issue

Audio Interviews

Watch Out for 5 Cybersecurity Myths

Top 10 Cybersecurity Steps to Take Now

CCO Liability: How to Protect Yourself

How to Read an SEC Enforcement Action

Ethics or Compliance: Making the Choice

Top Marketing Problems and Solutions

The Hidden Costs of Non-Compliance

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Examiner Discovery of More than $750,000 in Missing Assets Leads to Custody Rule Charges

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