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    Work with the best
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    and investment industry

Latest

  • OUTSOURCING UPHELD: Recent ruling supports use of outsourced CCO read more >>
  • CLOSING BELL: Todd Cipperman on CNBC primetime, discusses hedge fund failures Watch now >>
  • VIDEO RECAP: 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 >>

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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News

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

Cybersecurity Procedures Recommendations from SEC Staff

04.29.15

“The SEC’s Division of Investment Management has issued a Guidance Update on Cybersecurity, recommending periodic assessments...”

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SEC Staff Addresses Board Role in Valuing Securities

04.27.15

“The SEC awarded $1.4-$1.6 Million to a compliance officer that acted as a whistleblower against...”

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Compliance Officer Receives $1.4-$1.6 Million Whistleblower Award

04.23.15

“The principal of an investment adviser was barred from the industry following SEC charges that he misled investors but had no assets...”

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

Hey guys, the regulators are back. I hope our review is better than last time!