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  • Cipperman Compliance Services (CCS) provides compliance services to registered funds, money managers, and broker-dealers. 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.

    SERVICES

    Compliance is All We Do

    Your resource for delivering outsourced compliance services to registered funds, money managers, alternative investment firms including hedge and private equity funds, and broker-dealers

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    WHY CCS?

    Building a Culture of Compliance

    As an appointed outsourced CCO we provide access to a deep-bench team of compliance resources, demonstrate compliance independence, share liability, and lower costs

    READ MORE >

    INTEGRITY

    Best Practices with Investment Industry Savvy

    Do you assess your regulatory risk the same way that the SEC does? The SEC is more frequently naming and prosecuting individuals, not just companies

    READ MORE >

    BLOG

    Timely Insights on Compliance

    CCS’s Gillespie and Tyre Analyze Regulation Best Interest and Adviser Fiduciary InterpretationMay 2, 2018

    The SEC recently proposed Regulation Best Interest, proposing a best interest conduct standard on retail brokers, and an expanded fiduciary interpretation applicable to investment advisers.  CCS’s Stacey Gillespie offers a summary of the expanded fiduciary interpretation, and Doug Tyre provides a description of the proposed Best Interest Standard.  Stacey analyzes… Read more

    SEC Examined 15% of Advisers Last Year and Wants to Expand Exam ProgramMay 1, 2018

    In recent testimony before Congress, SEC Chairman Jay Clayton reported that the SEC examined approximately 15% of all investment advisers in fiscal 2017, a 40% increase over the prior year.  Mr. Clayton said that the SEC achieved these results through the reallocation of resources, advancements in technology, and “other efficiencies.” … Read more

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    SATIRE

    The Lighter Side of Compliance…

     

     

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