NSCP Currents: State Advisers – Important Information to Prepare for a Regulatory Exam

Managing Director, Consultation Services Tina Mitchell's article, "State Advisers – Important
Information to Prepare for a Regulatory Exam," was published in the July 2020 edition of the National Society of Compliance Professionals'
Currents newsletter.

In the article, Ms. Mitchell discusses regulations that can apply to state registered investment advisers, outlines key areas of deficiencies found by state examiners during exams, and provides compliance steps to help firms prepare for a regulatory exam.
Click here to read the article.