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A leading resource for registered investment advisers and foreign investors.

Over the past few years, I have been asked a handful of times whether a registered investment adviser may outsource the role of the Chief Compliance Officer. While there are compliance firms that offer such a service, I personally discourage registered investment advisers from outsourcing their CCO.

Rule 206(4)-7 (the “Compliance Rule”) under the Investment Advisers Act of 1940 requires Investment Advisers to designate a Chief Compliance Officer. In October of 2022, the SEC proposed

RIA Law Journal