Outsourcing RIA oversight a ‘non-starter’
A proposal to allow advisory firms to outsource routine compliance exams, rather than rely on government auditors or a self-regulatory organization, is already facing head winds from the brokerage industry
A proposal to allow advisory firms to outsource routine compliance exams, rather than rely on government auditors or a self-regulatory organization, is already facing head winds from the brokerage industry.
The idea was floated last week in a TD Ameritrade-sponsored study by Georgetown Unive
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