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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

Standing Letters of Authorization Cause Advisers to Have Custody February 22, 2017

The staff of the SEC’s Division of Investment Management, in a recent No-Action Letter, … Read more

Large IA/BD Fined $8 Million for Failing to Implement Suitability Procedures February 16, 2017

The SEC fined a large IA/BD $8 Million because it failed to implement compliance … Read more

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Satire

The Lighter Side of Compliance…

OCD also means Organize Compliance Document