Former IA settles custody charges for $50k

Polaris purported to rely on the Audited Financials Alternative in order to comply with the custody rule, but Polaris failed to timely deliver the audited financials to NMX’s investors

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.