Broker-Dealer Outsourcing: Key Regulatory Issues and Strategies for Compliance

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Broker-Dealer Outsourcing: Key Regulatory Issues and Strategies for Compliance

Describes regulations of broker-dealer outsourcing and suggests how firms can best prepare to comply.

Overview

Broadridge Regulatory Compliance Software

Due to the efficiencies and economics of outsourcing, broker-dealers are relying more and more on outsourcing for a broader range of tasks. However, because of new and stricter regulations, outsourcing presents ever-growing compliance and oversight challenges. This paper explores how to retain regulatory controls while gaining the maximum benefit from outsourcing.

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