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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