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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

The Friday List: Our 2017 Predictions December 2, 2016

Today, we offer our “Friday List,” an occasional feature summarizing a topic significant to … Read more

BD Fined $6.25 Million for Allowing Illegal Margin Lending December 1, 2016

FINRA fined a large broker-dealer $6.25 Million for failing to prevent customers from using … Read more

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Satire

The Lighter Side of Compliance…

Make Me Look Sharp