RIA Risk Alert

RIAs Need To Be Prepared for Upcoming Exams

According to the 2014 Electronic Communications Compliance Survey Report, over half of RIAs are concerned about their ability to produce data upon request. At the same time, the SEC has indicated they are increasing examinations, particularly for RIAs who have never been examined before.

Being prepared for an upcoming SEC exam is the key to ensuring your firm is safe from risk.

Download RIAs Need to be Prepared for Coming Exams  to learn:

  • Best practices of recently examined firms
  • Which content types are frequently requested during examinations
  • Common RIA archiving and policy gaps

    Complete the form to download