127: Nell Sloane – Becoming a CTA—How to Begin Managing Money
Chat With Traders
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How Many Audits Should You Expect?
The audits are typically going to take place every three years on average. They can also do higher compliance person to help them do what's like a mock audit just so that they can review everything ahead of time. So how much warning are they given ahead of time that they might be having an audit done? Or do they just show up at your door one day? You can't run your business on hoping that they will just announce themselves that they're going to be showing up in two weeks.
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