• Regulatory Professionals
    Your independent partner…
    with attributes few others can match
  • Control
    Manage your risk
    • 24/7/365 direct access to your
    CCS team
    • Daily/weekly/monthly reporting
    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

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  • “OUR TAKE” WEBINAR: How to Survive an SEC Exam watch now >>
  • VIDEOS: Todd Cipperman interviews Brinker Capital's CEO Noreen D. Beaman watch now >>
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  • ARTICLE: SEC Issues For The Fund Industry – Fund Boards In Particular read now >>
  • IN-DEPTH ARTICLE: Compliance is here to stay. Hire, outsource or delay? read now >>
  • THE CCS SOLUTION: See how we can help you sleep at night read now >>

Events

Webinar: How to Survive an SEC Exam

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Interviews

Todd Cipperman

on Business News Network

Watch his recent interview
on the “Market Sense” program

Watch Here

Todd Cipperman

on Bloomberg Radio

Hear his recent interview
on the “Taking Stock” show.

Listen Here

Featured Blog Articles

SEC Charges Private Equity Firm with Misallocating Expenses

2.26.2014

“The SEC has charged a private equity firm and its principal with securities fraud for charging management company expenses to the fund and as well as...”

Read More

SEC Will Focus on Compliance in New Exam Initiative

2.24.2014

“The SEC’s Office of Compliance Inspections and Examinations announced an initiative to conduct examinations of all advisers that have been in business for at least 3 years but have never been examined. These examinations will focus on...”

Read More

Large BD/Custodian Fined $8 Million and AML CCO Fined and Suspended over AML Compliance Issues

2.13.2014

“FINRA fined a large broker-dealer/custodian $8 Million and fined and suspended its AML Compliance Officer for several anti-money laundering compliance failures
related to...”

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

It is important for the company CCO to know something about compliance