• Regulatory Professionals
    Your independent partner…
    with attributes few others can match
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    and on-site work
  • Transparency
    Understand the process
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    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

  • 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" MILESTONE: Blog now reaches 2,000 industry professionals Read now >>

Breaking News

The Results are in on “Best Practices” C-Suite Survey

CCS asked financial professionals for their views on the state of their firms’ compliance efforts. The results might surprise you...

Read Overview >>
See Responses >>

Interviews

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

Todd Cipperman

Interviewed on Bloomberg Radio

Listen Here

Featured Blog Articles

SEC Abolishes Institutional Stable Value Prime Funds

7.24.14

“The SEC has adopted new money market fund rules that require a floating net asset value for institutional prime money market funds, allow liquidity fees...”

Read More

Audit Firm Will Pay Over $4 Million for Lobbying Activities that Violated Independence Rules

7.15.2014

“A large audit firm agreed to pay over $4 Million in fines, disgorgement, and interest for engaging in lobbying activities that the SEC charges violated...”

Read More

FINRA Releases Order Routing and Execution Quality Exam Letter

7.9.2014

“FINRA has released its information request letter for reviews of ‘order routing and execution quality of customer orders.’ FINRA indicates...”

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

Apply the Goldilocks rule of valuation: Not too high, not too low, Just Right.