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.)