Episode 78: Outsourced Compliance with Fizza Khan, Silver Regulatory Associates

Fizza Khan from Silver Regulatory Associates visits the Tokens of Wisdom Studio to enlighten us about all things compliance. From deciding when to engage an outsourced provider to the nuts and bolts of compliance policies and navigating SEC exams, Fizza shares the wisdom.

Key Points From This Episode:

How does an outsourced compliance engagement work?
Compliance policies – is it one size fits all, or are they custom to the adviser?
What goes into compiling an effective set of policies?
How are you involved in regulatory exams?
When should a manager consider engaging outsourced compliance?
How do you charge for your services?
How should I choose the right outsourced compliance provider?
What’s the smartest thing a new fund manager can do?

Disclaimer:

This show is for informational purposes only. Nothing presented here constitutes legal, investment or tax advice. The guests that join us share their considerable fund-related wisdom, but everything they share here is their personal opinion and for educational purposes only. On this show, they are speaking for themselves, and not for their employer or any affiliated entity.

Tokens of Wisdom is produced by Dave Rothschild, partner at Cole-Frieman & Mallon LLP headquartered in San Francisco, California. For more information, visit https://colefrieman.com/

Links Mentioned in Today’s Episode:

Dave Rothschild - https://www.linkedin.com/in/davidcrothschild/

Fizza Khan - https://www.linkedin.com/in/fizzakhan1/

Cole-Frieman & Mallon LLP - https://colefrieman.com/

Silver - https://silverregulatoryassociates.com/

Music by Joe Ginsberg - https://www.instagram.com/thejoeginsberg

For any questions or comments, email: tow@colefrieman.com