Opportunity Cost For Investment Advisers

When Principals or staff members without compliance backgrounds work on compliance tasks, they tend to spend more time on this obligation, relative to experienced compliance professionals. And, their resulting final documentation is often a guess at best, as to what regulators require rather than an experience-based result. So, they are, in essence, devoting greater time to the topic, for a less certain outcome. 

Below is an estimator of the opportunity cost of their allocating their time to common compliance tasks vs. revenue-producing tasks. (Note: The below list reflects only a portion of the higher value or greater risk requirements of investment advisers; it is not all-inclusive and does not reflect all the obligations a particular firm may need to meet.)

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To Our Valued Clients:

Due to the severity of what we are facing, ComplianceWorks has decided to take proactive action to honor our commitment to truly being a partner with our clients.  We understand that falling short on compliance obligations in reaction to this difficult environment would only further increase risk to our clients.  Thus, effective April 1, you will be given a temporary [10%-25%] reduction in the monthly ComplianceWorks’ fee without a reduction in service or tasks outsourced to ComplianceWorks.  This puts the cost of our services more in-line with the uncertainty of firm financial conditions and puts our firms in the same boat as we all work toward recovery.  We will re-evaluate the discount every 3 months to determine then continuance and the amount of reduction going forward. 

Please understand that the reduction in your fee is not permanent and that at some point in the future we will return to the normal contracted price for the services provided.

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