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