Considerations for Outsourcing Compliance

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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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

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