Mixed Findings In Report On Advisor Deficiencies
October 19, 2015 by Cyril Tuohy
The number of deficiencies among investment advisors has declined 30 percent from two years ago. However, the percentage of exams noting at least one deficiency rose in many categories, according to a report issued by the North American Securities Administrators Association (NASAA).
The 1,170 reported state examinations uncovered 4,983 deficiencies in 22 compliance areas. Click HERE to view article.
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