By outsourcing your chief compliance officer (CCO) role to us, you gain access to a team of highly skilled and experienced compliance professionals that will oversee your firm’s compliance program. Our outsourced CCO offering includes:
- 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 solution for conflicts management
- Regulatory exam oversight and support
- Weekly or monthly onsite visits or calls
- Compliance training and mentoring
- Compliance with all requirements of Rules 206(4)-7 or 38a-1
- CCO designation
Note: This service requires CCO liability insurance.
