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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

Top 5 Regulatory Alerts – October 2018 November 21, 2018

Here are our Top 5 Regulatory Alerts for October 2018, ranked by significance.  We have also included the Top 5 most read Alerts.   Top 5 Regulatory Alerts – October 2018 SEC WARNS FIRMS TO TAKE ACTION AGAINST CYBER-FRAUDS (10/18/18) SEC ALLOWS FUND BOARDS TO RELY ON CCO FOR EXEMPTIVE… Read more

Advisory Clients Did Not Receive Promised Fee Breaks November 20, 2018

  A registered investment adviser agreed to pay $354,000 in client reimbursements and penalties for failing to give clients the benefit of promised fee breakpoints over an 8-year period.  The adviser marketed a fee schedule that offered lower fees as assets increased and offered clients lower fees for aggregated household… Read more

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Satire

The Lighter Side of Compliance…