5 tips to strip stress out of your next SEC, FINRA or state regulatory audit
Financial Planning
The leading resource of news, data and analysis for the wealth management industry.
Staring down the barrel of a looming regulatory audit can feel like being called into the principal's office without warning. But Stacy Sizemore says it's not the end of the world.?
And she would know. The?chief compliance officer of tru Independence, a Portland, Oregon-based consulting services platform for wealth managers, has more than two decades of experience in financial services, including being part of more than 50 different audits, exams or inquiries over the years.
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Each time, she's lived to tell the tale. And frequently, she has learned something nuanced in the process.
To help you make your next, or first, regulatory audit a smooth one,?Financial Planning?asked Sizemore and other compliance experts for tips. Check out the story below to see their insider advice about the process, and learn why if you're not already prepared, you may be too late.
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