Adviser settles SEC case related to untimely delivery of audited financials

In 2018, 2019, 2020, and 2021, with respect to the Real Estate Fund and Opportunity Fund, Steward purported to rely on the Audited Financials Alternative in order to comply with the custody rule, but Steward failed to timely deliver the audited financials to the Funds’ investors in each year

Carl Ayers

September 9 2022

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

Get limited access to industry news, analysis and best practice guides, plus regular email updates

Email address

First name

first name

Last name

last name

Organisation

Country Phone number Job title

Job Title

To register, please review and accept our terms and conditions and privacy notice. I accept: sourceRegistration

Not for publication, email or dissemination

To read this article, you need to sign in.

New to Regulatory Compliance Watch?

Register now

Login

Sign in to your account

Nearly there!

We have just sent you an email so you can verify your account. Please check your spam or junk folder just in case it’s been delivered there.