Premier Trust has just released The Dirty Dozen: 12 Ways to Survive an SEC Examination for SEC and state registered investment advisors.
This report reveals how to spot red flags that can easily trigger an audit:
- Registrations with the SEC or States that may contain errors, omissions or mistakes
- Unfixed problems cited in prior SEC or state exams
- Client complaints that have not been addressed
- A compliance officer with deficient practices
The Dirty Dozen will provide advisors with ways to prepare before you get the examiners calls and best practices to get through an SEC examination quickly, efficiently, and with minimal adversity.