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As RIA compliance complexity explodes, two big outsourcers merge to keep pace

National Compliance Services Inc. is a biggie with smaller RIAs and Regulatory Compliance LLC already provides ultra-handholding that firms increasingly demand

Author Brooke Southall November 3, 2015 at 8:52 PM
1 Comment
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Ken Kaltman: Big is better for the client

RIA Compliance

Jeff Spears

Jeff Spears

November 4, 2015 — 4:58 PM

Concerned that our desire for scale recreates some of the negative aspects of the BIG firms we have either left or are competing against for business.

Mentioned in this article:

MarketCounsel | HamburgerLaw
Compliance Expert, RIA Set-up Firm, Regulatory Consultant
Top Executive: Brian Hamburger

NCS Regulatory Compliance
Consulting Firm
Top Executive: Mark Alcaide, COO/Partner

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