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Independent Fund  (CCO) Services

CCO Services for Investment Companies

Named Chief Compliance Officer

Named Chief Compliance Officer

Compliance4 provides an experienced CCO to administer your Fund's Rule 38a-1 compliance program, ensuring your Fund remains in compliance with all regulatory requirements.

Annual and Quarterly Reporting

Our CCO will prepare your Fund's Rule 38a-1 Annual Report and provide comprehensive quarterly reports to the Board, maintaining transparency and continuous oversight.

Service Provider Oversight

We offer meticulous oversight of your Fund's service providers and sub-advisers, ensuring they align with your Fund's compliance policies, standards and objectives.

Compliance Review and Assessment

  • Fund Policies and Procedures: We conduct thorough reviews and assessments of your Fund’s policies and procedures to ensure compliance with Federal Securities Laws.

  • Service Providers Compliance: Our team also reviews the policies and procedures of your Fund’s Service Providers as they pertain to the Fund’s compliance requirements.

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Compliance Policy Development and Amendments

  • Customized Policy Solutions: Compliance4 specializes in recommending amendments and drafting tailored policies and procedures for your Fund and integration with your Service Providers.

  • Board Approval Process: All proposed amendments and new policies are meticulously crafted and presented to the Fund’s Board for approval.

Annual Compliance Review

  • Comprehensive Evaluation: Our Rule 38a-1 annual review process assesses the adequacy and effectiveness of the Fund’s Compliance Program, ensuring that your Fund it meets all regulatory standards and best practices.

  • Detailed Annual Reports: We prepare and submit detailed Annual Reports to the Fund’s Board, providing insights and recommendations for continual improvement.

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Meeting Room

Board Meetings and Reporting

  • Active Participation in Meetings: Your CCO attends all Board meetings, whether in-person or virtually, to ensure direct communication and responsiveness.

  • Executive Session Compliance: We adhere to Rule 38a-1 by meeting in executive session as required, maintaining the highest standards of governance and oversight.

  • Responsive Reporting: We are committed to reporting to the Fund Board as requested and are prepared to undertake additional duties or responsibilities as may be assigned by the Board.

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