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

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