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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

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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

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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

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Blog

Timely Insights on Compliance

Broker-Dealer Responsible for Trading Desk’s Unlawful Trading Practices April 18, 2017

An interdealer broker agreed to pay $2.5 Million in disgorgement for failing to disclose … Read more

Adviser Jailed for Fraud Based on Emails that Crossed State Lines April 17, 2017

  A financial adviser was sentenced to 10 years in prison and ordered to … Read more

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Satire

The Lighter Side of Compliance…