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Podcast: Tokens of Wisdom
Episode: Episode 78: Outsourced Compliance with Fizza Khan, Silver Regulatory Associates
Description: 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 effecti...