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    Your independent partner…
    with attributes few others can match
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    • 24/7/365 direct access to your
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    • Daily/weekly/monthly reporting
    and on-site work
  • Transparency
    Understand the process
    • Processes designed with clarity
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Latest

  • TODD CIPPERMAN AT OFA 2016: Speaker at Miami Beach conference Feb. 1–2 read more >>
  • Appearing on CNBC: Todd Cipperman on SEC and the law watch now >>
  • QUOTED IN COMPLIANCE WEEK: Todd Cipperman on SEC’s compliance outsourcing concerns read now >>
  • 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 >>

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Events

CCS at OFA 2016, Feb. 1–2

Join CCS at the Operations for Alternatives (OFA) conference at the Fontainebleau Miami Beach, Monday and Tuesday, Feb. 1–2.
Todd Cipperman will be speaking on SEC oversight of the alternative investment market. And look for CCS at Booth #3!

Read More >>

News

Todd Cipperman

seen on CNBC’s “Worldwide Exchange”

Watch Now

Todd Cipperman

quoted in Compliance Week

SEC’s Concerns Prod a Rethinking of Outsourced Compliance
Read More

Todd Cipperman

quoted in Wall Street Journal

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

Featured Blog Articles

SEC Punishes RIA for Failing to Stop Cyber-Attack

09.24.15

“The SEC fined and sanctioned an investment adviser...”

Read More

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

09.22.15

“A mutual fund sponsor agreed to pay $40 Million...”

Read More

SEC Proposes Liquidity Management Rules for Mutual Funds and ETFs

09.25.15

“The SEC has proposed new liquidity risk management rules...”

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

We are very excited to outsource the CCO role to Cipperman Compliance.