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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

SEC Staff Publishes 2017 Exam Priorities January 13, 2017

The staff of the SEC’s Office of Compliance Inspections and Examinations has released the … Read more

SEC, Not FINRA, Brings Churning Case Against 2 Brokers January 12, 2017

  The SEC charged two brokers with churning and excessive trading in customer accounts.  … Read more

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Satire

The Lighter Side of Compliance…

Make Me Look Sharp