Risk Alert: Observations from Municipal Advisor Examinations
Nov. 7, 2017
Topic: Staff observations from examinations of Municipal Advisors.
Key takeaways: Municipal Advisors should take steps to educate themselves regarding their compliance obligations. Exam staff frequently observed deficiencies in MA compliance with regulatory obligations regarding registration, recordkeeping and supervision.
View the Risk Alert: Observations from Municipal Advisor Examinations (PDF)
Modified: July 21, 2022