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Internal Broker-Dealer: Essential or Not?


Yes, fund managers need a broker-dealer to serve as the legal underwriter to the firm’s registered funds and to maintain the FINRA licenses for personnel involved in fund marketing activities, but perceptions are quickly changing around whether or not these capabilities need to be kept in house at such a significant cost to do so.

An enduring appreciation for the most efficient and productive use of capital has traditionally seen fund managers reward companies whose focus is trained on their core competencies. During periods of disruption, however, fund managers will often turn their attention inward to scrutinize where, within their own organizations, cost savings may be available without impacting their investment operations.

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