
Brian Hamburger on Surging Merger Business in RIAs
Masters in Business
00:00
The Outsourced Chief Compliance Officer
The SEC promulgated compliance program rule in the 2000s. It made it clear to us that you cannot outsource the role of a C-suite executive, specifically a chief compliance officer within an RA. So for all the firms that we work with, their chief compliance officer is an employee of the firm.
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