- In the News
SEC Provides Compliance Outsourcing Guidelines
In a recent Alert, the SEC’s Office of Compliance Inspections and Examinations (OCIE) explicitly…
“Our Take Live” at Maggiano‘s
with Todd Cipperman
Stay Tuned This Fall
Philadelphia Round Table
BNN’s Business Day PM
Todd Cipperman on
"Hedge Funds Under Attack"...
The Wall Street Journal
Outsourced Compliance Officer Trend Renews Standards Debate...
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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
SEC's Enforcement Director Targets Private Equity
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