{"id":771,"date":"2023-03-27T06:00:49","date_gmt":"2023-03-27T10:00:49","guid":{"rendered":"https:\/\/cornerstoneportfolioresearch.com\/?p=771"},"modified":"2023-03-31T15:50:00","modified_gmt":"2023-03-31T19:50:00","slug":"let-an-outsourced-cio-prevent-record-keeping-headaches","status":"publish","type":"post","link":"https:\/\/cornerstoneportfolioresearch.com\/outsourcing\/let-an-outsourced-cio-prevent-record-keeping-headaches\/","title":{"rendered":"Let an Outsourced CIO Prevent Record-keeping Headaches"},"content":{"rendered":"<p><span style=\"font-weight: 400;\">Are you an independent broker-dealer struggling to keep up with the complications of ever-changing securities regulations? The amount of paperwork, alone, that must be tracked for investment compliance reasons can sometimes become a nightmare. Especially for a smaller firm with limited human resources, it can start to feel like a heavy anchor, limiting any potential growth.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">However, there is an affordable, potentially profitable solution: <a href=\"https:\/\/cornerstoneportfolioresearch.com\/why-an-outsourced-cio-could-be-your-shrewdest-investment\/\" target=\"_blank\" rel=\"noopener\"><strong>Investing in an outsourced Chief Investment Officer<\/strong><\/a> (CIO) can yield proactive solutions to help you stay one step ahead of regulatory changes. If you\u2019re tired of running to catch up, please read on.<\/span><\/p>\n<p><b>This article discusses the following:<\/b><\/p>\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Regulatory changes aren\u2019t likely to end soon<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Those ugly r-words: retention &amp; recession<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Could delegation help you get traction?<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Why OCIO providers can be lifesavers<\/span><\/li>\n<\/ul>\n<h2><b>Regulatory Changes Aren\u2019t Likely To End Soon<\/b><\/h2>\n<p><a href=\"https:\/\/www.sec.gov\/news\/press-release\/2023-29\" target=\"_blank\" rel=\"noopener\"><span style=\"font-weight: 400;\"><strong>The financial industry is no stranger to regulatory change.<\/strong><\/span><\/a><span style=\"font-weight: 400;\"> In fact, we\u2019ve seen a steady stream of new regulations over the past few years. It\u2019s certainly reasonable to expect that <\/span><strong><a href=\"https:\/\/www.sec.gov\/rules\/proposed\/2022\/34-96906.pdf\" target=\"_blank\" rel=\"noopener\">we\u2019ll continue seeing new changes<\/a><\/strong><span style=\"font-weight: 400;\"> as governments and regulators look for ways to protect investors. Some of the results may be increasingly complex, as well.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">So, it\u2019s never been more important for independent broker-dealers to understand how regulatory changes can affect their businesses. While most rules are designed to ensure investor safety, they sometimes come with significant penalties for improper filing, including fines, suspension of trading privileges, or even criminal prosecution.<\/span><\/p>\n<p><span style=\"font-weight: 400;\">It would be nice if we could tell the Securities and Exchange Commission, \u201cI\u2019d have paid closer attention if I hadn\u2019t been so focused on doing my job\u2014and nurturing client relationships.\u201d However, the SEC doesn\u2019t deal in shoulder pats or do-overs. At the end of the day, it\u2019s comply 100% with regard to every investment or cry.<\/span><\/p>\n<h2><b>Those Ugly R-Words: Retention &amp; Recession<\/b><\/h2>\n<p><span style=\"font-weight: 400;\">Okay\u2014<\/span><i><span style=\"font-weight: 400;\">technically,<\/span><\/i><span style=\"font-weight: 400;\"> \u201cregulation\u201d is also an r-word. Nevertheless, let\u2019s talk about its cousin, \u201cretention\u201d and its ugly cousin, \u201crecession:\u201d It\u2019s not going to shock anyone when I say that retention is our firms\u2019 lifeblood. There is no functional substitute for paying clients. Our own financial well-being is tightly woven into how we perceive our own.<\/span><\/p>\n<p><span style=\"font-weight: 400;\">This makes a degree of hand-holding integral to almost any job in the financial industry. Reassurance tends to encourage continuing client trust and loyalty. It also says non-verbally that they remain <\/span><i><span style=\"font-weight: 400;\">people<\/span><\/i><span style=\"font-weight: 400;\"> to us; they\u2019re not becoming back-burner-ed, forgettable numbers. These are the building blocks of retention\u2014and we can\u2019t afford to neglect them, even when free work hours are rarer than sidewalk diamonds.<\/span><\/p>\n<p><span style=\"font-weight: 400;\">Nevertheless, now that <\/span><strong><a href=\"https:\/\/markets.businessinsider.com\/news\/stocks\/stock-market-outlook-recession-indicator-october-low-sp500-evercore-2023-2\" target=\"_blank\" rel=\"noopener\">a recession seems inevitable,<\/a><\/strong><span style=\"font-weight: 400;\"> people like our very best clients are worried (or tempted to be). The days of a brief, you\u2019ll-be-fine nod and wink are over. If we don\u2019t make time for additional, consistent hand-holding, in some cases, they\u2019ll start to feel neglected or even forgotten.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">It can be a head-scratcher and potential headache inducer: How <\/span><i><span style=\"font-weight: 400;\">do<\/span><\/i><span style=\"font-weight: 400;\"> you pull enough hours out of a magic top hat to keep your clients reassured and emotionally on board? Cloning yourself might be legal where you are, but the best publicly-available tech still takes years for the necessary growth (even if the whole idea wasn\u2019t sketchy).<\/span><\/p>\n<p>&nbsp;<\/p>\n<h3 style=\"text-align: center;\"><a href=\"https:\/\/cornerstoneportfolioresearch.com\/the-benefits-of-hiring-an-ocio-in-competitive-markets\/\" target=\"_blank\" rel=\"noopener\"><b><i>What if Your Firm Could Go From Treading Water to Riding the Economic Waves?\u00a0<\/i><\/b><\/a><\/h3>\n<p>&nbsp;<\/p>\n<h2><b>Could Delegation Help You Get Traction?<\/b><\/h2>\n<p><span style=\"font-weight: 400;\">Seriously, there\u2019s only one obvious solution: You have to delegate your investment-related compliance work. It may not be humanly possible to put in your best planning, asset management, and relationship-building daily\u2014<\/span><i><span style=\"font-weight: 400;\">and<\/span><\/i><span style=\"font-weight: 400;\"> keep tabs on every new requirement from the SEC or FINRA. This has been the case at times, even before the economy turned sour.<\/span><\/p>\n<p><span style=\"font-weight: 400;\">Now that we\u2019re in another year of the bear, economically (with reassurance becoming even more crucial), it\u2019s probably only going to get crazier. The road may be forking for some independent broker-dealers between delegating what they can and going under. Hopefully, that\u2019s an overdramatic picture of what lies ahead, but who really knows?<\/span><\/p>\n<p><span style=\"font-weight: 400;\">You need to start thinking, right now, about what you want to offload and to whom you want to assign those tasks. Unless you\u2019re prepared to start farming out clients to larger firms in order to free up time, it may be your only viable option. Meanwhile, you also need to consider how you\u2019ll pay another employee.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">Few independent firms have the financial resources necessary (and ski-mask approaches never end well). This can make covering the salary, benefits, bonuses, and so on for someone well-qualified feel just as headache-inducing as the ever-changing compliance requirements for investing. However, there <\/span><i><span style=\"font-weight: 400;\">is<\/span><\/i><span style=\"font-weight: 400;\"> a budget-friendlier alternative.<\/span><\/p>\n<h2><b>Why OCIO Providers Can Be Lifesavers<\/b><\/h2>\n<p><img loading=\"lazy\" decoding=\"async\" class=\"size-medium wp-image-772 alignleft\" src=\"https:\/\/cornerstoneportfolioresearch.com\/wp-content\/uploads\/2023\/03\/Cornerstone-March-blog-2-outsourced-cio-image-2-300x200.jpeg\" alt=\"outsourced cio lifesaver, treading water\" width=\"300\" height=\"200\" srcset=\"https:\/\/cornerstoneportfolioresearch.com\/wp-content\/uploads\/2023\/03\/Cornerstone-March-blog-2-outsourced-cio-image-2-300x200.jpeg 300w, https:\/\/cornerstoneportfolioresearch.com\/wp-content\/uploads\/2023\/03\/Cornerstone-March-blog-2-outsourced-cio-image-2-768x513.jpeg 768w, https:\/\/cornerstoneportfolioresearch.com\/wp-content\/uploads\/2023\/03\/Cornerstone-March-blog-2-outsourced-cio-image-2.jpeg 800w\" sizes=\"(max-width: 300px) 100vw, 300px\" \/><\/p>\n<p><span style=\"font-weight: 400;\">A fiduciary<\/span> <strong><a href=\"https:\/\/cornerstoneportfolioresearch.com\/how-outsourced-investment-management-can-help-you-build-a-better-business\/\" target=\"_blank\" rel=\"noopener\">outsourced chief investment officer (OCIO)<\/a><\/strong> <span style=\"font-weight: 400;\">can help you even the odds. The right one can bring both experience and accreditation onto your team without costing a fortune in the process. This is because he or she works remotely; interfacing with you (and with clients, if you choose) online. They\u2019re available every business day, but you may only have to pay a set monthly fee.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">You can list their bio on your Our-Team page. In some cases, the OCIO model can be an almost instant prestige boost if, for example, you land one who\u2019s a Chartered Financial Analyst\u00ae. At the same time, you don\u2019t have to worry about providing health insurance or even a parking spot.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">I say this a lot, but it really can be the best of both worlds: You can have an experienced executive helping keep your firm compliant and your documentation solid <\/span><i><span style=\"font-weight: 400;\">without<\/span><\/i><span style=\"font-weight: 400;\"> the typically-significant additional costs. You\u2019re going to need more time to reassure clients when the recession hits, but an OCIO can bring aboard much more than delegation options.<\/span><\/p>\n<p><span style=\"font-weight: 400;\">Opting to have this executive meet with clients upon request constitutes providing a premium service. So, if you choose to, you may want to consider optimizing your fees. You could consider adjusting your AUM, as well: If your outsourced CIO is a CFA\u00ae, prospective high-net-worth (and possibly, even ultra-high-net-worth) clients may take note.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">Market volatility had many middle-income investors considering leaving their current advisor, well before a recession looked certain. Now, it only stands to reason that some of the affluent may be having similar thoughts. <\/span><strong><a href=\"https:\/\/cornerstoneportfolioresearch.com\/\" target=\"_blank\" rel=\"noopener\">Cornerstone Portfolio Research<\/a><\/strong><span style=\"font-weight: 400;\"> has the experience to help you keep your investing compliant <\/span><i><span style=\"font-weight: 400;\">and <\/span><\/i><span style=\"font-weight: 400;\">free up your time for landing new clients.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">\u00a0<\/span><span style=\"font-weight: 400;\">We\u2019re also available for registered investment advisors (RIAs). <\/span><strong><a href=\"https:\/\/cornerstoneportfolioresearch.com\/contact-us\/\" target=\"_blank\" rel=\"noopener\">Contact us<\/a><\/strong><span style=\"font-weight: 400;\"> to learn more.<\/span><\/p>\n<p><a href=\"https:\/\/connect.cornerstoneportfolioresearch.com\/ebook-10-Ways-an-OCIO-Can-Help\" target=\"_blank\" rel=\"noopener\"><img loading=\"lazy\" decoding=\"async\" class=\"aligncenter wp-image-707 size-medium\" src=\"https:\/\/cornerstoneportfolioresearch.com\/wp-content\/uploads\/2023\/01\/10-Ways-an-OCIO-Can-Help-234x300.png\" alt=\"10 Ways an OCIO can help financial advisors\" width=\"234\" height=\"300\" srcset=\"https:\/\/cornerstoneportfolioresearch.com\/wp-content\/uploads\/2023\/01\/10-Ways-an-OCIO-Can-Help-234x300.png 234w, https:\/\/cornerstoneportfolioresearch.com\/wp-content\/uploads\/2023\/01\/10-Ways-an-OCIO-Can-Help.png 462w\" sizes=\"(max-width: 234px) 100vw, 234px\" \/><\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Are you an independent broker-dealer struggling to keep up with the complications of ever-changing securities regulations? The amount of paperwork, alone, that must be tracked for investment compliance reasons can sometimes become a nightmare. Especially [&hellip;]<\/p>\n","protected":false},"author":5,"featured_media":773,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"footnotes":""},"categories":[13],"tags":[15,14,9],"class_list":["post-771","post","type-post","status-publish","format-standard","hentry","category-outsourcing","tag-investment-research","tag-ocio","tag-outsourcing-for-financial-advisors"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v23.9 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Let an Outsourced CIO Prevent Record-keeping Headaches -<\/title>\n<meta name=\"description\" content=\"Are you an independent broker-dealer struggling to keep SEC-compliance-current? 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