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
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Fund Policies and Procedures: We conduct thorough reviews and assessments of your Fund’s policies and procedures to ensure compliance with Federal Securities Laws.
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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.
Compliance Policy Development and Amendments
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Customized Policy Solutions: Compliance4 specializes in recommending amendments and drafting tailored policies and procedures for your Fund and integration with your Service Providers.
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Board Approval Process: All proposed amendments and new policies are meticulously crafted and presented to the Fund’s Board for approval.
Annual Compliance Review
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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.
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Detailed Annual Reports: We prepare and submit detailed Annual Reports to the Fund’s Board, providing insights and recommendations for continual improvement.
Board Meetings and Reporting
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Active Participation in Meetings: Your CCO attends all Board meetings, whether in-person or virtually, to ensure direct communication and responsiveness.
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Executive Session Compliance: We adhere to Rule 38a-1 by meeting in executive session as required, maintaining the highest standards of governance and oversight.
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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.