{"id":4517,"date":"2007-10-29T02:35:00","date_gmt":"2007-10-29T02:35:00","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2007\/10\/north_american_securities_admi"},"modified":"2022-03-28T14:47:17","modified_gmt":"2022-03-28T19:47:17","slug":"north-american-securities-admi","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/north-american-securities-admi\/","title":{"rendered":"North American Securities Administrators Association Announces Investment Adviser Best Practices"},"content":{"rendered":"

The North American Securities Administrators Association announced a series of investment adviser best practices that it is recommending after it conducted investment adviser tests that showed 2135 deficiencies in 13 compliance areas. 418 investment advisers in 43 states and provinces participated in the tests, which were overseen by NASAA’s Investment Adviser Operations Project Group.<\/p>\n

Five of the categories that had the largest amount of deficiencies included supervisory compliance (174 deficiencies), registration (504 deficiencies), books and records (384 deficiencies), unethical business practices (318 deficiencies) and privacy (142 deficiencies).<\/p>\n

The leading three deficiencies in the category of registration involved:<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

The North American Securities Administrators Association announced a series of investment adviser best practices that it is recommending after it conducted investment adviser tests that showed 2135 deficiencies in 13 compliance areas. 418 investment advisers in 43 states and provinces participated in the tests, which were overseen by NASAA’s Investment Adviser Operations Project Group. Five […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3740],"tags":[],"class_list":["post-4517","post","type-post","status-publish","format-standard","hentry","category-miscellaneous"],"yoast_head":"\nNorth American Securities Administrators Association Announces Investment Adviser Best Practices — Investor Lawyers Blog — October 29, 2007<\/title>\n<meta name=\"description\" content=\"The North American Securities Administrators Association announced a series of investment adviser best practices that it is recommending after it — October 29, 2007\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/north-american-securities-admi\/\" \/>\n<meta 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