Advisors’ Continue to Build Compliance Resources

Increased attention to regulatory compliance appears to be paying off at audit time.

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Part 1: Advisors are putting resources behind compliance

Virtually all firms are maintaining or raising their compliance budgets Read more
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Part 2: Some regulators worry advisors more than others

Firms believe the SEC is better at finding important compliance gaps than other agencies, and currently worry more about SEC and state regulatory agencies than FINRA Read more
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Part 3: Advisors have concerns about compliance risk in multiple areas

Cybersecurity and data integrity are leading worries when it comes to advisors’ compliance risk. Read more
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Part 4: Compliance typically represents a small part of advisors’ total time budgets

Many advisors are involved in compliance functions, but relatively few describe compliance as their primary job Read more
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Part 5: Firms’ concerns and actions appear to be paying off

When firms do get audited, the vast majority of them pass either without recommendations or with minor recommendations Read more
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Exclusive Research: Advisors Continue to Build Compliance Resources