Top RIA Compliance Deficiencies of 2015 Infographic

Recently, the North American Securities Administrators Association (NASAA) released its 2015 Investment Adviser Coordinated Examinations Report. We took their recent registered investment adviser (RIA) examination findings and created a free downloadable infographic which summarizes the following:

• 2015's top RIA regulatory compliance deficiency categories
• The 2013-2015 change in number of deficiencies per exam
• Year over year changes of the top RIA regulatory compliance deficiencies
• A look at the number of regulatory deficiencies per audit over the years

Contact us if you any questions about our compliance software.

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.