Chief Compliance Officer Support
Our daily support to your CCO includes regulatory exam assistance, guidance for processes and procedures, and industry intelligence.
We have the compliance controls in place to reasonably detect, prevent, and correct potential violations of applicable federal securities laws. Through frequent reporting, we provide ongoing updates regarding our compliance program to our client CCOs. Our team also reports on any significant changes to procedures and communicates compliance events within any business lines. Our detailed program and all of its reporting capabilities are accessible at all times through our secure, web-based CCO Portal.
Our CCO team keeps our clients up to date with regulatory changes by the various regulatory agencies and ensures we implement those changes in a timely manner. We also assist in the customization of the due diligence visits based on your CCO’s requirements.