Duty to Report Compliance Concerns

CCACO promotes the open and honest communication of compliance issues so that they may be promptly investigated and resolved. We are committed to providing an environment that allows reporting of compliance issues in good faith, without fear of retaliation or intimidation. It is very important, as well as required, that you immediately report potentially unethical or illegal conduct, including potential violations of our Code of Conduct or any of our Compliance Program policies and procedures, in one of the following ways:

Contact the CCACO Compliance Officer, Nian Zhou, at (212) 965-0222

Call the anonymous 24-hour Confidential Compliance Helpline at (929) 288-9121; or

E-mail your concern to