Cipperman Compliance Services
Registered Fund Compliance Services
At Cipperman Compliance Services, we have developed a number of models to support your fund's compliance needs. We work with our clients to understand which components of their compliance program would benefit from additional resources. We then structure the relationship to maximize the effectiveness of their compliance process by utilizing us as a supplemental resource.
Outsourced CCO
We can provide the full array of CCO functions. Below is a list of services included in a full outsourcing scenario.
Implement and Test:
Support your in-house CCO
We can also act as a support resource for your in-house CCO
We are willing to do the "heavy lifting" required to ensure that our clients have well designed and well run compliance programs. Let us know how Cipperman Compliance Services can help you.
We can provide the full array of CCO functions. Below is a list of services included in a full outsourcing scenario.
Implement and Test:
- Implement and maintain the compliance manual and related policies and procedures
- Conduct the Annual Review required by Rule 38a-1
- Assist compliance oversight of: proxy voting, anti-money laundering, portfolio compliance, record retention, trading, brokerage, fair valuation, trade errors, correspondence and client complaints
- Designate a person to serve as Chief Compliance Officer
- Distribute the compliance manual and obtain applicable certifications
- Maintain a compliance calendar
- Manage delivery of privacy notices
- Inform personnel and service providers of compliance responsibilities
- Conduct compliance training
- Investigate misconduct and violiations of policies and procedures
- Provide regulatory advice and respond to internal inquiries
- Respond to regulatroy inquiries and examinations
- Quarterly Board reporting of material compliance issues
- Attend Board meetings
- Asssist the Code of Ethics processes
- Monitor the insider trading policy
- Review marketing materials for compliace with applicable SEC and FINRA rules
- Review compliance certifications and reports of fund service providers
- Condut due diligence of service providers
Support your in-house CCO
We can also act as a support resource for your in-house CCO
- Take responsibility for a specific set of duties from the list above, based on your needs
- Flexible program developed around your pain points
- Provide ad hoc services throughout the year at your request
- Review current procedures
- Assess processes and make recommendations
We are willing to do the "heavy lifting" required to ensure that our clients have well designed and well run compliance programs. Let us know how Cipperman Compliance Services can help you.