JUST RELEASED: The Compliance Advantage: Ten Must-Know Trends to Protect Your Investment Firm

Available on Amazon.

sidebar-top

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

READ MORE >

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

READ MORE >

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

READ MORE >

Blog

Timely Insights on Compliance

Fund Manager Did Not Conduct Adequate Investment Due Diligence April 25, 2019

A formerly-registered fund manager was fined and censured for failing to conduct sufficient due diligence on underlying investments, which resulted in significant losses for the funds.  The fund manager invested $4 Million in a Norwegian trading strategy that promised repayment plus $40 Million in interest.  The fund manager represented that… Read more

Marketplace Lender Fined $3 Million for Overstating Returns Due to Coding Errors April 24, 2019

A marketplace lender agreed to pay a $3 Million fine for overstating returns because of coding errors.  The SEC asserts that the firm’s legacy coding omitted charged-off loans from historical performance calculations once the charged-off loans were sold to a third party.  According to the SEC, the firm knew as… Read more

VISIT BLOG >