sidebar-top

Services

Compliance is All We Do

Your resource for delivering outsourced compliance services to registered funds, money managers, alternative investment firms including hedge and private equity funds, and broker-dealers

READ MORE >

Why CCS?

Building a Culture of Compliance

As an appointed outsourced CCO we provide access to a deep-bench team of compliance resources, demonstrate compliance independence, share liability, and lower costs

READ MORE >

Integrity

Best Practices with Investment Industry Savvy

Do you assess your regulatory risk the same way that the SEC does? The SEC is more frequently naming and prosecuting individuals, not just companies

READ MORE >

Blog

Timely Insights on Compliance

Supreme Court Rules that Whistleblower Must Report to SEC February 22, 2018

The United States Supreme Court has ruled that Dodd-Frank’s anti-retaliation provisions apply only to whistleblowers who report the misconduct to the SEC.  In the case, the employee brought a claim under Dodd-Frank’s whistleblower anti-retaliation provisions, even though he had not reported to the SEC, because he claimed that he was… Read more

BD President Sanctioned for Failing to Supervise Inexperienced CCO February 21, 2018

The President of a broker-dealer was fined and barred for failing to supervise an inexperienced and ineffective Chief Compliance Officer.  The CCO failed to properly monitor and halt excessive mutual fund trading by a registered rep.  The CCO had difficulty analyzing the firm’s trade blotter and mutual fund reports even… Read more

VISIT BLOG >

Satire

The Lighter Side of Compliance…