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
FINRA has released its 2018 Examinations Findings as a “resource for firms to strengthen their compliance programs and supervisory controls.” FINRA says the report selected certain observations because of “their potential significance, frequency, and impact on investors and the markets.” The report highlights widespread deficiencies in suitability policies and procedures… Read more
The SEC fined three broker-dealers more than $6 Million for providing inaccurate securities trading information to the regulator over several years. The SEC asserts that coding errors caused the firms to provide inaccurate blue sheets for millions of trades. The SEC faults the BDs for failing to implement a… Read more
VISIT BLOG >
Satire
The Lighter Side of Compliance…
