Fund CCO Support Services

Stakes have never been higher for Chief Compliance Officers (CCOs) due to a quickened pace of regulation at both the federal and state levels. CCOs are finding it difficult to maintain a clear picture of all the factors affecting their firm, including regulatory changes, new product development, conflicts of interest, decentralized systems, and lack of resources. As a result, firms are increasingly outsourcing critical functions to help CCOs gain the enterprise-wide visibility to make good decisions.

We provide leading compliance program support, tools and expertise, allowing the CCO to focus on the needs of the board and strategic initiatives, with the comfort of knowing that the fund compliance program is designed to prevent violations of federal securities laws. Our solutions are flexible based on your routine and ad hoc support needs.

CCO Reporting

Our compliance team delivers detailed reporting offering actionable information and insight at the right time for decision makers at your firm including:

  • Quarterly compliance 38a‑1 representations
  • Detailed annual report to the fund CCO
  • Fund policy and procedure amendments
  • Updates on issues and initiatives
  • Annual risk assessments
  • Regulatory updates

Compliance Policies and Procedures

We help you stay ahead of regulatory changes with active monitoring of policies and updates to operational procedures including:

  • Implement fund policies and procedures
  • Maintain and recommend updates to fund policies and procedures in line with industry best practices
  • Conduct annual review of fund policies and procedures
  • Maintain compliance calendar

Review and Oversight

Due diligence is critical because of the significant role third-party providers play with the funds. Our experts conduct formal reviews of all service providers through initial and ongoing on-site due diligence visits, quarterly questionnaires, code of ethics monitoring, and regulatory filing reviews. The service providers that we currently monitor on behalf of our clients include:

  • Advisor
  • Sub-advisor
  • Administrator
  • Accountant
  • Custodian
  • Distributor
  • Transfer agent
  • Pricing vendors

Don't Have a Fund CCO?

We can also provide an experienced and highly qualified fund CCO when combined with any other of our services. The appointed fund CCO will provide support and attend board meetings, focus on risk mitigation, and be responsible for compliance and regulatory oversight and issue resolution, in addition to the items listed above.

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