Cipperman Compliance Services provides a broad array of services to Investment Managers.  Below is a list of services that are required to fulfill the CCO function.  We work with our clients to define which services (if any) they want to perform in house, and which ones they wish for us to take on.

• Maintain and implement the compliance manual and related policies and procedures
• Conduct the Annual Review required by Rule 206(4)-7
• Conduct the annual risk assessment
• Assist compliance oversight of: proxy voting, AML, portfolio compliance, record retention, trading, brokerage, fair valuation, trade errors, correspondence and client complaints

Manage:

• Designate a person to serve as Chief Compliance Officer
• Maintain a compliance calendar
• Establish and run the compliance committee to review material compliance matters
• Distribute the compliance manual and obtain applicable certifications
• Monitor the client agreement form
• Manage delivery of privacy notices
• Manage licensing requirements

• Inform personnel of compliance responsibilities
• conduct compliance training

• Investigate misconduct and violations of policies and procedures
• Provide regulatory advice and respond to internal inquiries
• Respond to regulatory inquiries and examinations

• Prepare and file ADV amendments and state notice filings
• Prepare 13F filings
• Assist the Code of Ethics process
• Monitor the insider trading policy

• Review marketing materials for compliance with applicable SEC and FINRA rules
• Prepare compliance materials for Boards and clients
• Participate in Board/client meetings
• Conduct due diligence of service providers