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  • Control
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    and on-site work
  • Transparency
    Understand the process
    • Processes designed with clarity
    and openness
    • Our focus is always on your
    strategic priorities
  • Reputation
    Work with the best
    • We hold ourselves accountable
    for all outcomes
    • Respected by clients, regulators
    and investment industry

Latest

  • ROC SYMPOSIUM: CCS to co-sponsor ROC – Bermuda 2015, April 22-24 details here >>
  • CLOSING BELL: Todd Cipperman on CNBC primetime, discusses hedge fund failures Watch now >>
  • VIDEO RECAP: Cipperman Enhances Our Take with a Bi-Monthly Compliance Minute Recap watch now >>
  • SEEN ON “THE STREET”: Todd Cipperman asked about alternative mutual fund exams watch now >>
  • “BEST PRACTICES” SURVEY: The results are in—and the responses are here... read now >>
  • SURVEY SAYS…: C-Suite respondents point to failure of firm leaders read now >>
  • QUOTED IN THE WSJ: Todd Cipperman opines on outsourcing CCOs read now >>
  • “BEST PRACTICES” SURVEY: Cipperman queries C-suite financial professionals... read now >>
  • “COWBOY MINDSET”: Hear Todd Cipperman’s interview on Bloomberg Radio listen now >>
  • "BUSINESS DAY PM": Watch Todd Cipperman’s interview on Business News Network watch now >>
  • “TAKING STOCK”: Hear Todd Cipperman’s interview on Bloomberg Radio listen now >>

See our Latest Video

How's Business Today?

Watch above or on YouTube here.

Interviews

Todd Cipperman

on CNBC’s “Closing Bell”

Todd provides his perspective on why hedge funds are failing at a tremendous rate, even as stocks soar
Watch Here

Todd Cipperman

on “The Street”

See his latest interview about “SEC Eyes Examination of Alternative Mutual Funds”

Watch Here

Todd Cipperman

quoted in Wall Street Journal

Read the Article

Featured Blog Articles

Registered Alts Manager Disciplined for Violating Investment Company Act

02.13.15

“The SEC censured and fined an alternative mutual fund manager for technical violations...”

Read More

CCO Claims He was Fired for Investigating and Reporting Wrongdoing

02.11.15

“The Chief Compliance Officer of a broker-dealer has sued his former firm and its principals because he claims...”

Read More

Funds Should Adopt Gift and Entertainment Policies

02.24.15

“The staff of the Division of Investment Management has issued a guidance update stating that the receipt of any gift or entertainment by advisory personnel may violate...”

Read More

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How Good Is Your Compliance Program?

Will it withstand SEC scrutiny during a regulatory exam? Do you assess your regulatory risk the same way that the SEC does? Should you be worried?

Worst-case scenario: You’ve done something so egregious that the SEC lawyers refer the case to Enforcement, which could lead to public censure, fines, expensive undertakings, and industry bans.

Least-bad scenario: A problem shows up on a deficiency letter that a potential client will see.

In between: You and your firm become entangled in an ongoing regulatory dialog with the SEC that costs time and money. And, once the SEC determines that you or your firm is a compliance risk, you will likely see the examiners on an annual (if not continuing) basis.

Turn to CCS

With the increasing complexity and visibility of regulatory oversight, investment organizations are choosing to utilize independent partners to develop and execute compliance programs.

Cipperman Compliance Services (CCS) provides compliance services to registered funds and money managers. CCS creates compliance solutions that work for dynamic firms by leveraging the experience of a multi-disciplinary team of lawyers, compliance and operations professionals, and applying a management-focused approach to client services.

CCS takes full accountability for implementing its advice and solutions, which include serving as a firm’s chief compliance officer, creating customized compliance programs, conducting compliance reviews, and responding to regulatory inquiries.

Compliance Rules

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