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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

SEC Wants Advisers to Enhance Monitoring of Alternative Messaging Systems December 18, 2018

The SEC’s Office of Compliance Inspections and Examinations (OCIE) wants investment advisers to enhance procedures and surveillance for electronic messaging including texts, IM, and personal email.  OCIE advises firms to employ software to monitor social media and websites and regularly run internet searches to identify employees engaging in unauthorized online… Read more

Department of Justice Allows Credit for Identifying Only Senior Execs December 17, 2018

The Department of Justice has revised its corporate prosecution policy to allow credit to corporations that identify senior officials without identifying every individual involved.  In criminal cases, the defendant corporation must identify “every individual who was substantially involved in or responsible” for the misconduct.  In civil cases, the corporation must… Read more

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Satire

The Lighter Side of Compliance…