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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 Warns Firms to Take Action Against Cyber-Frauds October 18, 2018

  The SEC has issued and investigative report that advises public companies to enhance internal accounting controls to prevent losses from cyber-related frauds.  The SEC report describes frauds at 9 issuers that involved spoofing emails and false vendor invoices that resulted in significant losses when internal employees transferred funds to… Read more

Top 5 Regulatory Alerts – August-September 2018 October 16, 2018

Here are our Top 5 Regulatory Alerts for August-September 2018, ranked by significance.  We have also included the Top 5 most read Alerts.   Top 5 Regulatory Alerts – August-September 2018 LARGE ASSET MANAGER PAYS $97 MILLION FOR OVER-RELYING ON FAULTY QUANT MODELS (8/28/18) HACKERS IMPERSONATED REPS TO GAIN ACCESS… Read more

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Satire

The Lighter Side of Compliance…