We've been helping firms to stay in compliance for over twenty years.
Outsourced CCO Services
We are ready to discuss the possibility of outsourcing this requirement to us - whereby we serve as your external chief compliance officer. This may be a reasonable and cost-effective alternative for smaller organizations who are not prepared to pay the high levels of compensation demanded in today's market for such professionals. Outsourcing is the way that many investment advisers solve their obligations to employ experienced chief compliance officers.
General Compliance Consulting Services
We also assist firms with their compliance programs, whether or not we serve in this capacity. We parepare and update firm compliance manuals, codes of ethics, and operational procedures documents, and assist with company formations, background checks, regulatory examinations, books and records preparation and review, and general consulting on a wide variety of compliance matters.