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Regulation

SEC dings $7bn TAG Associates over custody failures

Citywire RIA ·

The New York RIA failed to properly custody client assets and implement an appropriate identity theft prevention program.

Summary as published by Citywire RIA
Financial ADVSRRead our full story: SEC settles custody and identity theft case with TAG Associates →
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Financial ADVSR links to reporting from across the industry. This story was reported by Citywire RIA. Financial ADVSR is not affiliated with Citywire RIA. Updated every 10 minutes.

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