By far, one of the most nerve-wracking experiences for RIA firms when it comes to managing compliance responsibilities is knowing how to properly prepare for an RIA regulatory audit. RIA regulatory examinations are conducted by both the states and the SEC.
Our staff of former regulators has conducted hundreds of regulatory exams throughout their careers and has complied some basic steps to help your investment advisory firm be better prepared for your next regulatory audit. This complimentary checklist outlines 10 steps to help you prepare for an RIA regulatory exam.
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