Interview: Mike Morris, Principal at Wipfli
Thought leader discusses compliance with the newly proposed SEC Outsourcing Rule under the Investment Advisers Act of 1940.
Throughout this interview, Mike Morris, a wealth management thought leader, talks about the proposed SEC Outsourcing Rule and its impact on vendor risk management. The rule would prohibit registered investment advisers (RIAs) from outsourcing certain services or functions without first meeting minimum requirements. Listen to learn answers to common questions, tips, and suggestions, as well as a general overview of the proposed rule.
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