Investment Company Services

Independent Fund CCO Services
To assist registered investment companies to maintain compliance with federal securities laws, Compliance4 delivers peace of mind by providing a experienced CCO to serve as your independent Chief Compliance Officer to administer your Fund's Rule 38a-1 compliance program. Compliance4 can assist in your CCO compliance efforts by providing:

» Serve as the named CCO for your fund
» Preparation of your Fund's Rule 38a-1 Annual Report
» Provide quarterly reports of the CCO to the Board
» Oversight of the Fund's service providers
» Oversight of sub-advisers
 

Review and assess the Fund’s policies and procedures pertaining to compliance with the Federal Securities Laws

Review the policies and procedures of the Trust’s Service Providers, as they relate to the Fund’s compliance with the Federal Securities Laws.

 

Recommend amendments and draft policies and procedures for the Service Providers and the Fund with such proposed amendments to be presented to the Fund’s Board for approval.

 

Conduct an annual review to assess compliance with the Fund’s Compliance Program and its overall adequacy and  effectiveness, and prepare the Annual Report to  the Fund’s Board.

Attend, whether in-person or telephonically, every regularly-scheduled or special meeting of the Board and meet in executive session as required by Rule 38a-1.

Report to the Fund Board as requested and undertake additional duties or responsibilities as may be assigned by the Board

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