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SEC Fines RIA for Failing to Conduct Surprise Exams
2025-08-04 19:28 UTC by ThinkAdvisorMelanie Waddellhttps://feeds.feedblitz.com/-/922697930/0/thinkadvisor.jpgSEC/News

Munakata Associates must pay $50,000 for failing to comply with the Custody Rule's independent verification requirement.

      

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