Deputy CCO Support

For firms with an in-house CCO, or those that don’t need extensive CCO support, our deputy CCO offering provides supplementary compliance assistance with the following:

  • Regulatory filings and updates
    • ADV/CRS
    • Form 13F/H/G
    • Form PF
  • Annual risk assessment
  • Updating and customizing policies and procedures manual
  • Rule 206(4)-7 annual compliance program review and report
  • Compliance program calendar
  • Cybersecurity compliance analysis
  • Advertising reviews
  • Quarterly personal trading, email and social media review
  • Compliance technology for conflicts management
  • Regulatory exam oversight and support
  • Weekly or monthly onsite visits or calls
  • Compliance training and mentoring

We promote open and consistent communication throughout the entire engagement by offering unlimited consulting. Consulting via phone, email and web conferencing is included for the duration of the engagement. We encourage you to contact us at any time with questions pertaining to the scope of the engagement.