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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

Private Equity Firm Failed to Deliver Financials within 120 Days July 19, 2018

 The SEC fined and censured a private equity firm for failing to deliver audited financial statements to limited partners within 120 days of the end of the fiscal year, as required by the custody rule (206(4)-2).  The firm missed the deadline by an average of more than 60 days in… Read more

Broker-Dealer Fined $1.25 Million for Deleting Phone Calls and Inadequate Records Retention July 18, 2018

  The SEC fined a broker-dealer $1.25 Million for deleting recorded telephone conversations and failing to maintain books and records related to broker expenses.  The broker-dealer deleted audio files after receiving an SEC request.  The BD failed to “ensure that this litigation hold notice was distributed to the technicians in… Read more

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Satire

The Lighter Side of Compliance…