Events
“How to Prepare for a Regulatory Exam”
In this WEBINAR, you’ll gain valuable insights from our panel of experienced compliance experts on preparing for your next regulatory exam.
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
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
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
Blog
Timely Insights on Compliance
Satire
The Lighter Side of Compliance…
