Outsource Compliance Tasks to Outside Experts
As an adviser focused on your core competency of client relationship management, outsource as many non-client relationship tasks as possible, and this includes managing compliance chores. --John Bowen Jr.
As an adviser focused on your core competency of client relationship management, outsource as many non-client relationship tasks as possible, and this includes managing compliance chores. Your broker-dealer should be helpful here, of course, but you can also turn to other compliance, regulatory and legal experts on an as-needed basis. Also consider working with a turnkey asset management provider (TAMP), which will provide you not just with complete investment solutions, but with compliance support as well.
-John Bowen Jr. is founder and CEO of CEG Worldwide, in Small Steps, Big Results
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