Recently, the North American Securities Administrators Association (NASAA) released its 2015 Investment Adviser Coordinated Examinations Report. Shortly thereafter, we released a blog post summarizing the key findings from the report. Now, in addition to a series of forthcoming additional blog posts, we are releasing an infographic which summarizes the registered investment adviser (RIA) examination report’s results.
Here is our new infographic which highlights the year over year changes in the study’s look at top RIA regulatory compliance deficiencies for state-registered investment advisory firms:
