Outsourced CCO

IACC provides an Outsourced CCO Solution for RIAs who seek a cost-effective alternative to hiring an in-house CCO. For clients who choose our Outsourced CCO Solution, IACC offers the following services:

• Obtain the Chief Compliance Officer title
• Assist with initial and annual registration and filings including IARD Administration, Form ADV, Form PF, 13D, 13F, 13H, and Form D.
• Create and maintain a customized compliance program
• Create, review, and update compliance policies and procedures
• Perform the annual compliance program review and reporting
• Manage all aspects of an SEC examination
• Perform risk assessment and risk management support
• Review and approve marketing, advertising, and client/investor communications
• Review and approve employee and proprietary trading, as well as other Code of Ethics activities such as gifts and entertainment, political and charitable contributions, and outside business activities
• Perform electronic communication surveillance and social media reviews
• Anti-money laundering OFAC reviews
• Chaperone expert network consultations
• Conduct vendor due diligence
• Conduct sub-adviser/fund adviser due diligence for compliance
• Participate on internal committees
• Provide unlimited phone and email consulting to all employees
• Conduct employee compliance training
• Provide regulatory updates and alerts to all employees