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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/Custodian Failed to File SARs for Terminated Advisers September 25, 2018

  The SEC fined a large broker/custodian $500,000 for failing to file Suspicious Activity Reports for terminated advisers suspected of engaging in risky activity.  The firm would only file SARs when an individual employee referred the adviser to the Anti-Money Laundering Department. According to the SEC, the firm failed to… Read more

Adviser Failed to Stop Radio Host from Giving Testimonials September 24, 2018

  The SEC censured and fined an investment adviser and its principal for allowing a radio station to air testimonials.  The adviser purchased radio spots that aired over a two-year period, during which one of the radio hosts became a client.  During both live and pre-recorded segments, the radio host… Read more

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Satire

The Lighter Side of Compliance…