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  • 2015 SURVEY RESULTS: Financial Services Industry Embracing Compliance see survey >>
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  • OUTSOURCING UPHELD: Recent ruling supports use of outsourced CCO read more >>
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New! In your corner

Brief case histories that illustrate the many ways CCS expertise works to solve problems for our clients..
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Compliance Outsourcing Recognized in Form ADV

11 June 2015

In a recent amendment to the SEC’s Form ADV and the Investment Advisers Act, financial advisers are now required to...
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Todd Cipperman

quoted in Wall Street Journal

The Morning Risk Report: Ruling Helps Firms Make Case for Outsourced CCOs
Read Here

Todd Cipperman

quoted in Wall Street Journal

Read the Article

Featured Blog Articles

Adviser Failed to Fully Disclose Revenue Sharing


“A registered investment adviser agreed to a fine and to notify all clients of its enforcement action related to failure to fully disclose...”

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Bipartisan Bill Would Multiply SEC Penalties


“Two Senators introduced a bipartisan bill that would allow the SEC to impose significantly higher penalties both in federal court and through...”

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SEC Commissioner Says that 10% of Enforcement Actions Have Targeted CCOs


“SEC Commissioner Luis Aguilar has issued a public statement indicating that the SEC does not specifically target Chief Compliance Officers, although...”

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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

Thank goodness you're here. We're really drowning in this compliance mess.