• 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


  • CCS EVENT A SUCCESS: Our Take Live 2015 draws large, receptive crowd read more >>
  • AVAILABLE NOW: Hear all 3 “Our Take Live” 2015 presentations listen now >>
  • QUOTED IN THE WSJ: Todd Cipperman comments on $18 million FINRA decision read now >>
  • 2015 SURVEY RESULTS: Financial Services Industry Embracing Compliance see survey >>
  • POLICING WALL STREET: Todd Cipperman Interviewed on Fox Business News’ Risk & Reward Watch now >>
  • OUTSOURCING UPHELD: Recent ruling supports use of outsourced CCO read more >>
  • CLOSING BELL: Todd Cipperman on CNBC primetime, discusses hedge fund failures Watch now >>
  • SEEN ON “THE STREET”: Todd Cipperman asked about alternative mutual fund exams watch now >>
  • QUOTED IN THE WSJ: Todd Cipperman opines on outsourcing CCOs read now >>

See our Latest Video

How's Business Today?

Watch above or on YouTube here.


CCS-hosted event a success.
"Our Take Live," the lunch-and-learn series launched nearly three years ago and featuring presentations by experts in the financial services industry, had a record turnout on November 12.


November 12 presentations.
The 3 slide presentations featured at the most recent “Our Take Live” event hosted by CCS are now available online. Hear what financial services experts have to say about compliance and valuation.

Listen Now >>


Todd Cipperman

quoted in Wall Street Journal

Finra Penalizes Firms for Failing to Waive Mutual Fund Fees
Read Here

Compliance Outsourcing Recognized in Form ADV

In a recent amendment to the SEC’s Form ADV and the Investment Advisers Act, financial advisers are now required to...
Read More

Todd Cipperman

quoted in Wall Street Journal

The Morning Risk Report: Ruling Helps Firms Make Case for Outsourced CCOs
Read Here

Featured Blog Articles

SEC Punishes RIA for Failing to Stop Cyber-Attack


“The SEC fined and sanctioned an investment adviser for failing to adopt policies and procedures reasonably designed to protect confidential client information...”

Read More

Fund Sponsor to Pay $40 Million for Using Fund Assets to Pay for Distribution


“A mutual fund sponsor agreed to pay $40 Million in disgorgement, fines, and interest for using fund assets to pay for distribution services without approval...”

Read More

SEC Proposes Liquidity Management Rules for Mutual Funds and ETFs


“The SEC has proposed new liquidity risk management rules for open-end funds, including mutual funds and ETFs, that would require...”

Read More

Subscribe to “Our Take”

Get timely, concise, and practical information by becoming part of our e-mail distribution list. You'll receive our daily alerts right in your inbox.


Sign up today!

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

Email or text me with any questions.