Independent Chief Compliance Officer (CCO) Services for RIAs
At Compliance4, we offer a bespoke Independent CCO Service tailored for investment advisers.
An independent CCO gives you:
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An Experienced Securities Lawyer and Compliance Professional: Our seasoned experts to serve as your Independent Chief Compliance Officer, ensuring adherence to Rule 206(4)-7 and federal securities laws.
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Comprehensive Compliance Support: Our services range from preparing your Annual Review to designing and testing your compliance program.
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Regular Reporting and Oversight: We offer quarterly reports to the CCO or management, along with diligent oversight of third-party service providers and sub-advisers.
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Best Practice Recommendations: We recommend and helps implement best practices in written policies and procedures.
Deputy CCO Services for In-House Compliance Support
Our Deputy CCO Service is designed for advisers who retain an in-house CCO but require additional compliance support.
With a deputy CCO, you get:
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Hands-On Compliance Assistance: We work closely with your in-house CCO, offering guidance on compliance with the Investment Advisers Act of 1940 and related regulations.
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An Experienced Compliance Professional: Our CCO is competent and knowledgeable, assisting in monitoring and testing compliance functions.
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Collaborative Approach: We provide support under the direction of your in-house CCO, ensuring seamless integration with your team.
Compliance and Operational Due Diligence Services
For RIAs planning to acquire other RIAs, we offer tailored Due Diligence Services:
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Customized Due Diligence Reviews: We conduct in-depth reviews based on the specific needs of the acquiring RIA.
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Collaborative Understanding: Our team works closely with your business team and CCO to understand all compliance and regulatory concerns.
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Detailed Reporting: We deliver timely and comprehensive due Diligence reports based on your objectives and requirements.
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Gap Analysis and Recommendations: Our service identifies weaknesses in compliance programs or operations, offering practical recommendations and assistance in implementing changes or mitigating gaps.
