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
The SEC has voted to propose a best interest standard for broker-dealers giving advice to retail customers. The proposed “Regulation Best Interest” requires a broker to act in the best interest of the retail customer at the time the recommendation is made, notwithstanding its own financial interests. The broker must… Read more
The SEC censured and fined an investment adviser and its principal for misleading advertisements that utilized hypothetical backtested performance. According to the SEC, the adviser continually updated its models but failed to fully disclose that the models’ out-performance resulted from these post hoc revisions. The SEC alleges that the… Read more
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Satire
The Lighter Side of Compliance…
