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:
Contact us if you any questions about the top RIA compliance deficiencies for 2019.
Note: RIA in a Box LLC is not a law firm, investment advisory firm, or a CPA firm. RIA in a Box LLC does not provide legal advice or opinions to any party or client. You should always consult your relevant regulatory authorities as this information should not be relied upon as currently accurate. This information is provided for educational purposes only and is not an exhaustive list of regulatory requirements.