Latest / Transition To RIA Podcast
Q58 - What Is An Outsourced Chief Compliance Officer?
Every Registered Investment Advisor is required to have a named Chief Compliance Officer (CCO).
Whether you are thinking of starting your own RIA, or already have one and would prefer to outsource more of the compliance responsibilities, an outsourced CCO solution is worth considering.
In the latest episode of my RIA Question & Answer series I am joined by Jeff Chapman of Dinsmore Compliance Services where we discuss, among other things:
What compliance responsibilities do RIAs have in general?
How do most RIAs fulfill those responsibilities?
What is an outsourced CCO solution?
What size RIA…
The skinny
The skinny isn't ready yet — notes appear once the transcript is processed.