REGISTERED FUND CCO SERVICES

Fund compliance is different—but it doesn’t have to be difficult

Registered fund compliance is much different than RIA compliance—and in some ways even more demanding. Our CCOs can fulfill your fund compliance requirements as thoroughly as we do on the RIA side.


Help Me With Fund Compliance

Don’t worry about becoming a fund compliance expert

RIA compliance is already tough to keep up with. With funds operating under an entirely different set of compliance rules, the challenge becomes even more complex. This includes more frequent reporting obligations to fund boards in addition to SEC requirements.

This is why so many RIAs retain a fund CCO expert to help.

We provide consulting and CCO services to help you meet fund compliance obligations

Whether as named CCO or a consultant providing services behind the scenes, our compliance experts help you maintain proper regulatory control and oversight. Our services cover all types of registered funds, including these:

  • Mutual funds
  • Closed-end funds
  • Interval funds
  • Business development companies (BDCs)
  • Exchange-traded funds (ETFs)

Save time and money by eliminating the need to hire full-time fund compliance staff

You can outsource the fund CCO role to Joot or we can enhance your compliance team by performing designated compliance tasks, training CCOs, or providing specific expertise where needed.

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