A strong compliance program aligned to your business
Outsourced solutions for versatile and scalable oversightget in touch
We take full responsibility (and in the case of outsourced CCO, legal liability) for the portion or entirety of the compliance program assigned to us. We will provide written quarterly updates on what tasks you have given us for the quarter, dates of completion and any side note on each task. These written reports also serve to fulfill the regulatory requirement that a firm supervises what is outsourced.
Our contracts are changeable at any time. You can lower the level of service, expand our scope, or discontinue services at any time without penalty or fee. Our services are a versatile, scalable and cost effective way to do business. If your firm grows to a point that it needs a full time CCO, we will help interview candidates and provide training on your firm's operations to smooth the transition.
All of our people have been CCO's and understand where compliance fits within your business model. We work with you to arrive at business friendly solutions, while maintaining compliance with applicable regulations. Our objective is to set up an appropriate compliance system to mitigate regulatory risk, where any deficiencies does not lead to enforcement, a monetary penalty or cause reputational damage.
We are in this for the relationship. In essence, we are a part-time employee in terms of cost but a full time, CCO-caliber, employee in terms of commitment. This is why our administrative contracts allow firms to call with questions, any time, without additional charge. Good communication is key to a good relationship and so we don't charge clients for every phone call or email response.