Many firms are concerned with the expense and administrative load associated with fulfilling the role of a CCO. Broker-Dealers and RIA’s may consider forming an alliance with an outsourced firm to address some of their internal concerns while filling this role. Communicating with regulators is...

Are you a broker-dealer who keeps their financial operations functions in-house? Are you interested in cutting operating costs and increasing efficiency? Could your firm benefit from broader and deeper knowledge?...