Study: Advisers who switched oversight show similar exam deficiencies

10/10/2013 | ThinkAdvisor

There is little difference in the types and frequency of testing deficiencies of financial advisers who switched from federal to state oversight, according to the North American Securities Administrators Association's 2013 Examination Report. The study of exams of more than 1,100 advisers uncovered 6,482 deficiencies in 20 compliance areas.

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