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Latest

  • CLOSING BELL: Todd Cipperman on CNBC primetime, discusses hedge fund failures Watch now >>
  • 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 >>
  • “OUR TAKE” WEBINAR: How to Survive an SEC Exam watch now >>

"Our Take" Updates

Cipperman Enhances Our Take with a Bi-Monthly Compliance Minute Recap

See the first video 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

Feeder Funds Must Attach Master Fund Financials

11.3.14

“The SEC’s Chief Accountant Office has issued guidance for feeder funds and fund-of-funds that would generally require separate presentation...”

Read More

Ten Firms Charged with Violating 8-K Rules

11.6.2014

“The SEC announced settled enforcement actions against 10 companies for a total of $350,000 in penalties for failing to file...”

Read More

FINRA Proposes Pay-to-Play Rules Similar to SEC Rules

11.17.2014

“FINRA has proposed pay-to-play rules that would restrict member firms from engaging in solicitation activities on behalf of investment advisers if...”

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

Check your email every 2 minutes. Just kidding, make that five minutes.