The Three Types of Audits an RIA Firm Should Know About

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The Securities and Exchange Commission ("SEC") and state regulators can audit your registered investment adviser ("RIA") firm at any time, for any reason, announced or unannounced. These examination programs play a critical role in ensuring a culture of compliance with the rules and regulations of the RIA industry.

To help RIAs understand the difference between possible compliance examinations, we created a detailed infographic outlining the three most common types of audits that an RIA firm can undergo.

The types of audits outlined on the infographic are:

  • Routine Inspections
  • For Cause Inspections
  • Sweep Examinations

Contact us if you any questions about our compliance software.

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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.