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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

RIA’s Affiliate Private Fund Manager Wrongly Claimed Registration Exemption July 28, 2017

The SEC censured and fined a fund manager and its principal and barred the principal from serving as a chief compliance officer for incorrectly claiming exemption from Advisers Act registration and its requirements.  The SEC contends that the principal, which managed a registered investment adviser, created an affiliate to manage… Read more

Compliance Minute Podcast: The 5 Stages of Cybersecurity Grief July 26, 2017

  In this podcast, Todd Cipperman advises compliance officers to take ownership of cybersecurity and implement required protections. Read more

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Satire

The Lighter Side of Compliance…