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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

BD Pays $13 Million to Settle Charges that It Catered to HFTs September 20, 2018

  A large broker-dealer agreed to pay nearly $13 Million to settle charges that it misled institutional customers about the operation of its dark pool and failed to register as an exchange or an ATS.  The SEC alleges that the broker-dealer, contrary to marketing and other representations, allowed high frequency… Read more

SEC Withdraws Letters that Allowed Advisers to Rely on Proxy Voting Firms September 18, 2018

 The SEC has withdrawn two no-action letters that allowed an investment adviser to rely on third-party proxy voting services so long as the adviser had policies in place to ensure independence.  The SEC withdrew the letters because it wants to open debate about the regulation of proxy voting services at… Read more

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Satire

The Lighter Side of Compliance…