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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

Supreme Court Ruling Challenges Decisions by ALJs Not Properly Appointed June 22, 2018

The U.S. Supreme Court has ruled that the SEC must approve the appointment of Administrative Law Judges, thereby invalidating the appointment of ALJs appointed by SEC staff members.  The Constitution’s Appointments Clause requires officers of the United States to be appointed by the President, a court of law, or a… Read more

BD Fined $42 Million for Masking Trade Execution June 21, 2018

The SEC fined a large broker-dealer $42 Million for masking trade execution venues over a 5-year period. The SEC asserts that the respondent routed orders to various undisclosed third party execution venues in an effort to increase order flow to those venues, avoid trading access fees, and give the impression… Read more

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Satire

The Lighter Side of Compliance…