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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 Fines and Bars Two Advisers for Selling Away Private Equity Fund January 16, 2018

The SEC fined and barred two advisers for selling interests in a private equity fund to their clients away from their broker-dealer and other securities law violations.  The defendants operated a branch office of a registered IA/BD and held licenses.  However, the SEC asserts that they formed the private equity… Read more

Bank-Affiliated BD Hit with a $13 Million Fine for AML Monitoring Flaws January 12, 2018

The SEC fined a large bank-affiliated broker-dealer $13 Million for weaknesses in its anti-money laundering program and for failing to file suspicious activity reports over a 5-year period.  The SEC faults the firm for utilizing a patchwork monitoring system across its large enterprise that often failed to monitor certain accounts… Read more

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Satire

The Lighter Side of Compliance…