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Author: Tim O’Grady

The Case for Going Paperless

Electronic delivery—or going paperless—of monthly statements and other related account documents to clients is not only environmentally friendly, but it represents a higher level of client service through quicker delivery, easier record storage, increased security and the ability to view from anywhere.

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Outsourcing the Compliance Function

In a recent SEC Risk Alert on the issue of outsourcing compliance, the SEC’s concerns centered on a third-party provider’s scope of authority, its communication with staff and whether an outside compliance provider with multiple clients had the resources to sufficiently service the firm.

 

 

 

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