CCO Outsource

Every firm needs an experienced and diligent Chief Compliance Officer (“CCO”) to help navigate the ever-changing regulatory landscape and keep their business running smoothly and within the confines of the law. Whether on an interim or permanent basis, Oyster has talented consultants with a breadth of industry knowledge and expertise who stand ready to serve as your firm’s CCO.

As CCO, Oyster will:

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  • Provide all CCO compliance services consistent with the requirements of the SEC and/or state regulators
  • Conduct reviews, both onsite and remotely
  • Conduct risk assessments and testing
  • Conduct Trade Reviews
  • Conduct New Account Reviews
  • Evaluate incoming and outgoing Correspondence Reviews
  • Conduct Marketing Reviews
  • Provide Compliance Program Reviews
  • Provide ongoing reporting of any violations and recommendations of remedial actions
  • Provide compliance support with respect to SEC and/or state examinations and regulatory matters
  • Assist in responding to any examination by or information request from the SEC and/or state regulators
  • Develop and maintain a detailed Compliance Program
  • Perform testing of compliance Policies and Procedures
  • Complete regulatory filings
  • Communicate Regulatory Updates and Alerts
  • Conduct employee training
  • Provide ongoing consulting
  • DOL Fiduciary Rule Assessment and Compliance

The Oyster Difference:

Oyster’s consultants have been CCOs and Compliance Officers for RIAs of all shapes and sizes. When you get the services of one consultant, you get the combined knowledge and experience of them all. Oyster takes a proactive approach to being CCO by staying ahead of the regulatory curve and making sure your firm is up to date on all proposed and final regulations, filtering through the regulatory noise to find the news and updates that are relevant to your firm’s needs.