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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

Three Firms Fined for Marketing Hypothetical Third Party Performance December 11, 2017

The SEC censured and fined three more investment advisers in connection with marketing F-Squared’s misleading hypothetical performance information.  One of the firms agreed to pay $8.75 Million in disgorgement, fines, interest and another agreed to pay over $700,000, while the third firm, which has ceased its business, agreed to pay… Read more

Compliance Minute Podcast: The Enforcement Target is You! December 8, 2017

  In the is podcast, Todd Cipperman highlights the SEC’s enforcement focus on executive liability as a deterrent against misconduct and what to do in response.   Read more

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Satire

The Lighter Side of Compliance…