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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

Best of the Web – May/June 2017 July 24, 2017

Welcome to the May/June 2017 BOTW.  Things got so crazy for your friendly neighborhood regulatory blogger that I missed a month, requiring a consolidation of the May and June BOTW.  That means a lot of great articles from the tops of the industry.  Alaric extols the virtues of automated compliance… Read more

Dual Registrant Failed to Disclose Revenue Sharing July 20, 2017

A large dual registrant agreed to pay over $550,000 in disgorgement, interest and fines for failing to disclose mutual fund revenue sharing received from its clearing broker.  The clearing broker agreed to share a percentage of revenues received from mutual funds participating in its NTF program.  The SEC charges that… Read more

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Satire

The Lighter Side of Compliance…