Recently, the North American Securities Administrators Association (NASAA) released its 2015 Investment Adviser Coordinated Examinations Report. We took their recent registered investment adviser (RIA) examination findings and created a free downloadable infographic which summarizes the following:
- 2015’s top RIA regulatory compliance deficiency categories.
- The 2013-2015 change in number of deficiencies per exam.
- Year over year changes of the top RIA regulatory compliance deficiencies.
- A look at the number of regulatory deficiencies per audit over the years.
Contact us if you any questions about our compliance software.