Adviser settles case of failing to get surprise custody exams for years

From 2013 until June 30, 2020, however, Arcadia failed to obtain the required surprise examinations for the client accounts for which it had custody

To read this article, you need to sign in.


You should only be asked to sign in once. Not the case? Click here


New to Regulatory Compliance Watch?

Register now to read this article and more for free.