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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

Best of the Web – March 2017 April 28, 2017

  “If we had no winter, the spring would not be so pleasant: if … Read more

ETF Sponsor Did Not Obtain Required Exemptive Relief April 27, 2017

A large ETF adviser agreed to pay a $1.5 Million fine for operating a … Read more

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Satire

The Lighter Side of Compliance…