Masters in Business cover image

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.

Play episode from 01:16:23
Transcript

The AI-powered Podcast Player

Save insights by tapping your headphones, chat with episodes, discover the best highlights - and more!
App store bannerPlay store banner
Get the app