In the post-Dodd-Frank regulatory world, investment advisers seeking to meet the expectations of the Securities and Exchange Commission (“SEC”), or of other regulators, face a common challenge:
How do we manage our business, stay on top of all the regulatory requirements and changes, and still meet our day-to-day compliance responsibilities?
This article discusses the factors investment adviser firms must consider when determining whether to tackle regulatory and compliance issues internally or outsource aspects of their compliance program.
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