Important Notice: Our web hosting provider recently started charging us for additional visits, which was unexpected. In response, we're seeking donations. Depending on the situation, we may explore different monetization options for our Community and Expert Contributors. It's crucial to provide more returns for their expertise and offer more Expert Validated Answers or AI Validated Answers. Learn more about our hosting issue here.

In an investment advisor audit, why do auditors ask questions about my insurance and broker dealer activities?

0
Posted

In an investment advisor audit, why do auditors ask questions about my insurance and broker dealer activities?

0

A. The auditor needs to have a general understanding of all the activities of the investment advisor to identify any potential conflicts of interest that might need to be disclosed.

Related Questions

Thanksgiving questions

*Sadly, we had to bring back ads too. Hopefully more targeted.