Nearly 50% of RIA exams find Form ADV deficiencies. With the SEC now using automated tools to scan filings, staying off their radar is harder than ever. This video breaks down the most common errors that trigger enforcement actions, from simple fee discrepancies and vague language to emerging risks in cybersecurity and digital asset disclosures. We provide actionable strategies to help ensure your filing is accurate, consistent, and timely, protecting your firm from costly penalties and reputational damage. For streamlined Form ADV solutions, visit https://riacomptech.com/simple-form-adv-solutions/.
RIA Compliance Technology
City: Scottsdale
Address: 10031 E Dynamite Blvd Suite 240
Website RIA Compliance Technology
Email prc.pressagency@gmail.com
