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Why Outsource Your CCO?
To mitigate risk and lower compliance allocations.
What We Do
At SEC3, we understand the financial pressures of running a small business while meeting the regulatory obligations of the SEC. As such, we offer the Outsourced CCO Partnership to those in need of an alternative solution to hiring a full-time, in-house CCO. When you outsource the CCO with SEC3, we will be responsible for managing the entirety of your firm’s compliance program and assuming the role of CCO.
“When you partner with a third party CCO, you need to know they are accountable and informed. We were highly selective through this process, and ultimately chose SEC3 because we felt secure their team would be proactive and ensure that we had a compliance program that would meet investor and regulator expectations. Not only have they done this, but our companies and staff, together, operate as a team.”
ETF Manager
Client Since 2018
Key Elements for an Outsourced CCO to be Effective:
- Compliance culture should provides access and support for compliance efforts.
- CCO should be versed in regulatory requirements and the firm’s business.
- Parties should maintain open communication and build a strong relationship.
- CCO should have authority to influence adherence with policies and procedures.
- Compliance program should be reasonably designed to prevent, detect, and address violations.
- The compliance program should be proactive.
