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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

Global Firm Gutted Valuation Control Function August 17, 2018

  The SEC fined a large broker-dealer $5.75 Million for failing to allocate sufficient resources to its valuation control function, thereby allowing rogue traders to inflate securities valuations and positions.  The firm eliminated 15 valuation control positions as part of a global efficiency initiative, which, according to the SEC, left… Read more

Over-Reliance on Automated Surveillance Tools Costs IA/BD $4.5 Million August 16, 2018

The SEC fined a large BD/IA $4.5 Million for overly relying on flawed compliance technologies that failed to prevent 5 registered representatives from stealing over $1 Million from clients over a 4-year period.  One of the systems, which was designed to compare disbursement addresses against controlled addresses, contained a technical… Read more

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Satire

The Lighter Side of Compliance…