Recently, the North American Securities Administrators Association (“NASAA”) released its 2019 Investment Adviser Coordinated Examinations Report. We took their recent registered investment adviser (“RIA”) examination findings and created a downloadable infographic which summarizes the following:
- 2019’s top RIA regulatory compliance deficiency categories.
- Year over year changes of the top RIA regulatory compliance deficiencies.
- A breakout of the top 3 issues for each deficiency category.
Contact us if you any questions about the top RIA compliance deficiencies for 2019.