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EPISODE · Jul 25, 2025 · 28 MIN

Leveraging Sub-Advisers and Third-Party Managers

from The Synergy Compliance Podcast · host Scott P. Gill

The use of sub-advisers and third-party managers can be a major value add for firms that offer portfolio management. However, if not implemented correctly, using an outside service could lead to regulatory examination deficiencies. Listen in as host Scott P. Gill and compliance consultant, Eric Moeller, talk about the three areas of compliance to consider before making changes to your firm's operations.

What this episode covers

The use of sub-advisers and third-party managers can be a major value add for firms that offer portfolio management. However, if not implemented correctly, using an outside service could lead to regulatory examination deficiencies. Listen in as host Scott P. Gill and compliance consultant, Eric Moeller, talk about the three areas of compliance to consider before making changes to your firm's operations.

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Frequently Asked Questions

How long is this episode of The Synergy Compliance Podcast?

This episode is 28 minutes long.

When was this The Synergy Compliance Podcast episode published?

This episode was published on July 25, 2025.

What is this episode about?

The use of sub-advisers and third-party managers can be a major value add for firms that offer portfolio management. However, if not implemented correctly, using an outside service could lead to regulatory examination deficiencies. Listen in as host...

Can I download this The Synergy Compliance Podcast episode?

Yes, you can download this episode by clicking the download button on the episode player, or subscribe to the podcast in your preferred podcast app for automatic downloads.
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