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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

Broker-Dealer Fined $1.25 Million for Deleting Phone Calls and Inadequate Records Retention July 18, 2018

  The SEC fined a broker-dealer $1.25 Million for deleting recorded telephone conversations and failing to maintain books and records related to broker expenses.  The broker-dealer deleted audio files after receiving an SEC request.  The BD failed to “ensure that this litigation hold notice was distributed to the technicians in… Read more

Portfolio Manager Made Personal Loan to CEO to Get on Board July 17, 2018

 A portfolio manager of an activist investment firm failed to disclose a $3 Million personal loan to the CEO of a company in which he invested.  The portfolio manager made the loan, according to the SEC, to secure the CEO’s support for his election to the Board as part of… Read more

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Satire

The Lighter Side of Compliance…