services / CCO
Chief Compliance Officer
Outsourcing the role of Chief Compliance Officer benefits Investment Advisors by alleviating a variety of compliance related burden to us.
+ Dedicated expert to serve as your CCO, including availability for use in marketing materials if desired.
+ Dedicated specific hours exclusively for your company
+ Sit on Risk and/or Investment Committee
+ Report to Management and/or Board of Directors
+ Policy development and implementation
+ Attend team meetings and/or presence on site
+ Due diligence on service providers/vendors
+ Maintain registration applications, as applicable (e.g. ADV, CRS)
+ Lead and conduct regulatory audits, including interview presence and drafting of all correspondence with regulators
+ Advertising Compliance
+ Conduct surveillance (email correspondence, investments/trading, gifts and entertainment, political contributions, outside business activities, and potential conflicts of interest, etc.)