Opportunity Cost For Investment Advisors

When Principals or staff member who do not have a compliance background work on compliance tasks, they tend to spend more time relative to an experienced compliance professional. Further, the resulting final documentation is a best guess as to what regulators look for rather than an experience based documentation method. So you spend more time with a less certain outcome – below is an estimator of the opportunity cost  of having firm principals/staff members working on some common compliance tasks vs revenue producing tasks. The tasks below are just some of the higher value or higher risk tasks for investment advisers and do not include all tasks a firm needs to perform.

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