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
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
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
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Satire
The Lighter Side of Compliance…
