- In the News
SEC Provides Compliance Outsourcing Guidelines
In a recent Alert, the SEC’s Office of Compliance Inspections and Examinations (OCIE) explicitly…
Private Fund Compliance Forum (PEI)
FINRA Annual Conference
The Wall Street Journal
Outsourced Compliance Officer Trend Renews Standards Debate...
CNBC’s “Worldwide Exchange”
Pharma boss Martin Shkreli arrested...
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Your resource for delivering outsourced compliance services to registered funds, money managers, alternative investment firms including hedge and private equity funds, and broker-dealers
As an appointed CCO we provide access to a deep-bench team of compliance resources, demonstrate compliance independence, share liability, and lower costs
Do you assess your regulatory risk the same way that the SEC does? The SEC is more frequently naming and prosecuting individuals, not just companies
Adviser Barred/Fined for Securities Fraud related to Cherry-Picking
Cipperman Compliance Services LLC
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Wayne, PA 19087
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