Outsourced CCO Support

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.

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.