Video Podcast: Mastering Regulatory Examinations

Recording | Slides

Regardless of if or when your registered investment advisory firm is selected to be examined, there are some important steps to take to ensure compliance and protect the best interest of the public. In this 35-minute video podcast (slides), Ellen Bruno, CPA/PFS goes in-depth into SEC and state regulatory examinations, including:
  • The current landscape
  • Purpose and scope
  • Preparation and management
  • Focus and common deficiencies
  • Possible exam outcomes
For more information investment adviser registration, refer to The CPA’s Guide to Investment Advisory Business Models.