We manage compliance so you can manage your business.
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