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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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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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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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Timely Insights on Compliance

Firm’s Weekly Email Reviews Were Not Adequate According to FINRA April 18, 2019

FINRA censured and fined a broker-dealer for inadequate email reviews.  Although the firm, through its President/CCO, conducted weekly reviews, FINRA charges that the firm’s random sampling and lexicon-based reviews were not sufficient given the firm’s size and risk areas.  The firm used 24 search terms provided by its email provider,… Read more

SEC Warns About Failures to Protect Personal Information April 17, 2019

The SEC’s Office of Compliance Inspections and Examinations has published a Risk Alert calling out advisers and broker-dealers for their failures to protect personal information.  Based on deficiencies identified over the last 2 years, the SEC found failures related to privacy notices, policies and procedures, and physical safeguards.  The SEC… Read more

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