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

CCO Fined and Barred for Failing to Conduct Rule 144 Due Diligence October 19, 2018

  A broker-dealer Chief Compliance Officer was fined $50,000 and barred from the industry for failing to implement procedures to prevent the unlawful liquidation of microcap securities.  FINRA asserts that the firm and its principals liquidated 74 million shares of microcap securities without satisfying Rule 144, thereby distributing securities in… Read more

SEC Warns Firms to Take Action Against Cyber-Frauds October 18, 2018

  The SEC has issued and investigative report that advises public companies to enhance internal accounting controls to prevent losses from cyber-related frauds.  The SEC report describes frauds at 9 issuers that involved spoofing emails and false vendor invoices that resulted in significant losses when internal employees transferred funds to… Read more

VISIT BLOG >

Satire

The Lighter Side of Compliance…