• 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

Latest

  • “BEST PRACTICES” SURVEY: Cipperman queries C-suite financial professionals... read now >>
  • SURVEY SAYS…: Todd Cipperman quoted in article on CCO concerns 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" MILESTONE: Blog now reaches 2,000 industry professionals Read now >>
  • ARTICLE: Advisers Pay-to-Play Rule 206(4)-5 read now >>
  • ARTICLE: SEC Issues For The Fund Industry – Fund Boards In Particular read now >>

In The News

C-Suite survey addresses best practices

Cipperman Compliance Services
surveyed 2,700 financial services
professionals with C-Suite titles.
Questions addressed their firms’
compliance best practices...

Read More >>

Interviews

Todd Cipperman

on Bloomberg Radio

Hear his latest interview

Listen Here

Todd Cipperman

on Business News Network

Watch his latest interview
on the “Business Day PM” program

Watch Here

Todd Cipperman

on Business News Network

Watch his interview
on the “Market Sense” program

Watch Here

Featured Blog Articles

NYS Attorney General Sues Large Bank for Dark Pool Fraud

6.26.14

“The New York State Attorney General filed a fraud lawsuit against a large international bank, alleging misrepresentations in the operation of its dark pool. The NYS Attorney General alleges ...”

Read More

CCO Punished for Code of Ethics Violations

6.13.2014

“The SEC censured, fined, and barred a Chief Compliance Officer for failing to implement and test the Code of Ethics, thereby failing to stop or detect the insider trading by a portfolio manager. The SEC says that the CCO failed 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

Unlike literature, compliance manuals should NOT be brief or witty.