Every Registered Investment Advisor is required to have a named Chief Compliance Officer (CCO).

Whether you are thinking of starting your own RIA, or already have one and would prefer to outsource more of the compliance responsibilities, an outsourced CCO solution is worth considering.

In the latest episode of my RIA Question & Answer series I am joined by Jeff Chapman of Dinsmore Compliance Services where we discuss, among other things:

• What compliance responsibilities do RIAs have in general?
• How do most RIAs fulfill those responsibilities?
• What is an outsourced CCO solution?
• What size RIA does an outsourced solution make sense for, and what does it cost?

Come take a listen!

Show notes: https://transitiontoria.com/what-is-an-outsourced-chief-compliance-officer

About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to the Registered Investment Advisor (RIA) model. Brad has nearly 20 years of industry experience, including direct RIA related roles in Compliance, Finance and Business Development. He has an MBA and has held the 4, 7, 24, 63 & 65 licenses. On his website (TransitionToRIA.com) he has a large catalog of free videos, whitepapers, as well as other resources to help advisors fully understand the RIA model and how it would apply to their unique circumstances.