 Training and technology have combined to enable state examiners to conduct more examinations and better detect deficiencies."Andrea Seidt, NASAA |
Massive spike in deficiencies at smaller RIAs
Tobias Salinger | Financial Planning, September 2017
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Summary: SEATTLE — Deficiencies found by regulators during their examinations of state-registered RIAs jumped nearly 60% to 7,907 in the first half of the year, and agencies are signaling plans to make advisors accountable for shortcomings in cybersecurity, officials say.
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