Outsourced Chief Compliance Officer

One of our goals is to help directors and trustees feel confident that our outsourced CCO solution will help control and manage regulatory liability.

Chief Compliance Officer Service

An experienced and highly skilled team of compliance professionals will work with your CCO to provide the following:

  • Ongoing maintenance and updating of required policies and procedures;
  • Ongoing sampling reviews of marketing materials and associated performance information (secondary to the work conducted by the Fund Distributor);
  • As-needed reviews of Fund and Third Party Service Provider (“TPSP”) policies and procedures for compliance with SEC requirements and the Trust’s disclosure documents;
  • Periodic review of compliance reporting from the Fund Administrator(s);
  • Quarterly Code of Ethics report review and testing;
  • Quarterly compliance “checkups” to include additional review of compliance reporting from TPSPs and reviews of materials to be provided to the Board of Trustees;
  • Ongoing due diligence activity relating to the Funds’ investment advisers including, but not limited to, the creation, distribution, collection and review of quarterly due diligence questionnaires as well as annual on-site visits;
  • Forensic testing activities as deemed necessary by CCO3;
  • Prepare detailed quarterly compliance reports for the Trust, including information relating to identified compliance violations, Code of Ethics compliance, applicable policy and procedure changes, and other relevant compliance matters.
  • Prepare a documented annual review;
  • SEC exam support; and
  • Other activities, as deemed necessary by CCO3, to provide compliance support to the Trust.