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In The News

Quite frequently, the financial services industry’s more influential publications and blogs will quote CCS principal Todd Cipperman and CCS associates in their articles. Here is list of recent citations. (Please note that some organizations require membership in order to view their content.) We’ve also included CCS’ own press releases.

Quoting CCS

Date Headline & Link Publication
02/11/20 “Adviser Pays $10.5M to Settle Risk Management Charges” Board IQ
01/31/20 Cipperman makes the NSCP’s Best of 2019: “How to Best Work with Compliance Consultants”
11/14/19 Human Capital: Compliance Guru Todd Cipperman Breaks Down SEC’s New Ad Rule
10/22/19 SEC suggests advisers rebate revenue-sharing payments Investment News
SEC Case Takes Revenue-Sharing Rules ‘in a Completely New Direction’ Ignites
Check Your Privilege: Compliance Communications Fair Game in SEC Exams Ignites
SEC Chasing Third Parties That Turn Blind Eye to Crime Ignites
Finra Orders Robinhood to Repay Investor After Tech Lapse Ignites
SEC Asks: Let Retail Investors Buy Unregistered Funds? Board IQ
The Year in Regulation: Liquidity, ETFs, Derivatives Board IQ
09/05/19 SEC warns advisers to get client consent before trading from own accounts Investment News
08/22/19 Commentary: How best to avoid pay-to-play pitfalls Pensions & Investments
07/24/19 Facebook’s $100M SEC Settlement May Complicate Libra Pitch Law 360
07/16/19 Compliance Pros in High Demand, and Their Pay Shows It Board IQ
07/16/19 How to Best Work with Compliance Consultants
07/11/19 How Your Regulatory Issues Impact Your Competitiveness
07/10/19 2019 Exam Priorities May Give Clue to Future of Broker-Dealer Regulation
06/14/19 Reactions Mixed to Reg BI Passage
06/05/19 Here’s What Experts Think is Contentious About the SEC’s Best Interest Regs
05/15/19 SEC Chasing Third Parties That Turn Blind Eye to Crime Video Ignites
05/13/19 How much is enough compliance? SEC grumbles about firms’ efforts to cover risks Investment News
04/30/19 5 reasons to just say no to having a part-time CCO
04/23/19 Enforcement May Follow SEC’s Cybersecurity and Privacy Warning
03/21/19 Finra budget to keep fees steady in 2019 Investment News
03/20/19 Don’t Get Too Comfy … Big Surprises Could be in Store in SEC’s Reg BI, Compliance Specialist Warns
03/14/19 SEC is escalating the pressure on hedge fund compliance – HFM Compliance (paywall)
03/13/19 Elon Musk fires back at the SEC
02/26/19 Regulators Take Aim at Share Class Disclosure
02/26/19 Straszheim on China Trade, Cipperman on Musk Tweets (Podcast)
02/01/19 FINRA’s Susan Shroeder’s Share Class Salvo
01/30/19 Shutdown impact on IPO’s
01/24/19 Shops ‘Grinding to a Halt’ Without SEC Guidance, Approvals
01/23/19 Companies Still Leaving Compliance in Cold on M&A Deals
12/18/18 Cipperman’s Jason Ewasko and Jon Wowak team up with BasisCode for the NSCP webinar on compliance consulting
10/31/18 SEC proposes variable annuity summary prospectus
10/11/18 Shops Move to Automate Valuation, but Risks Abound: Survey Ignites
08/28/18 SEC orders new enforcement hearings as a result of Supreme Court ruling
08/15/18 Gotcha! 10 lessons from brokers gone bad
06/26/18 SEC Releases Another Updated FAQ on Custody Rule Ignites
05/21/18 SEC Paves Way for M&A With Performance Reporting Relief Ignites
04/23/18 Finra proposes to widen net for churning violations
04/12/18 SEC warns advisers to toe the line on fees
03/21/18 SEC Steps Up Hedge Fund Exams as Pace Quickens FP
02/12/18 How to Stand Up for Ethics
01/23/18 Here Are the 2018 Regulatory Hot Buttons Barrons
01/11/18 The prospects for a bitcoin ETF look dead in the water
01/08/18 Finra warns brokers about moving clients from broker to advisory accounts
12/14/17 The Morning Risk Report: SEC Action Highlights Risk of Wearing Dual Hats Wall Street Journal
12/11/17 16 Compliance Trends To watch In the New Year
12/08/17 SEC Takes First Step into ‘Wild West’ Cryptocurrency Space FP
11/15/17 Wells Fargo Feels Effect of SEC Targeting Broker-Dealer Compliance Wall Street Journal
09/28/17 Survey Finds Current Cybersecurity Programs Do Not Meet Regulator Demands Hedgefund
09/25/17 C-Suites Lack Confidence in Compliance
09/25/17 Platinum Equity fined over broken-deal expenses PEI
09/19/17 SEC to Firms: Avoid These Advertising Pitfalls
09/14/17 The Equifax Credit Data Breach: A New High-Water Mark in Cybersecurity Risk Management. Here’s What You Should Do Now.
09/05/17 Alt Fund Managers: What Needs to Be Fixed Before the SEC Exam
08/30/17 Best Practices for Hedge Fund Managers Preparing for an SEC Examination Hedgefund
08/30/17 Surprise! The SEC Revives Unannounced Exams Ignites
08/24/17 Cetera firms to pay $3.2M in refunds in FINRA mutual fund waiver sweep FP
08/23/17 Hedge Funds Admit Cyber Weakness amid Search for Talent FP
08/22/17 Compliance risks lurk in LPL’s National Planning Holdings buy FP
08/18/17 Cybersecurity letting the compliance side down: CCS survey PFM
08/16/17 US compliance in wealth management: the trends at-a-glance
08/15/17 B/Ds Lack Confidence in Their Own Cybersecurity Efforts
08/15/17 C-Suite Survey Reveals Fear of Regulatory Scrutiny: Cipperman
08/15/17 Massachusetts securities chief William Galvin launches investigation of broker ‘kickbacks’
08/15/17 Many Asset Managers, B/Ds Don’t Trust Compliance Programs
08/14/17 Gap found in managers’ confidence in compliance programs — survey Pensions and Investments
07/24/17 IA Watch Weekly Briefing FP
06/21/17 How SEC, FINRA exams could change under Trump FP
06/12/17 Outsourced Compliance Shop Teams With Cyber Specialist Ignites
05/29/17 10 fiduciary facts advisers need to know now FP
05/23/17 Money Laundering and Quant Code
05/23/17 DOL Rule Is Seismic Shift For Advisors Financial Advisor
5/12/17 For Wall Street, there’s a new, more hospitable sheriff in town TH
5/1/17 Five takeaways from SEC enforcement actions PFM
3/15/17 Ex-Morgan, Wells Fargo Advisor Who Solicited Pro-Athlete Clients Barred by SEC Think Advisor
3/09/17 Best Practices for Hedge Fund Managers Conducting an Effective Annual Compliance Review (Part One of Two) Hedgefund
3/01/17 Annual review 2016: Ballot box shocks PEI
2/22/17 SEC Issues No-Action Letter on Advisors’ ‘Imputed Custody’ Think Advisor
2/22/17 The Most Overlooked Compliance Failures newsbug_financialplanning
2/08/17 Will SEC halt broken windows enforcement? Barrons
2/07/17 How will Trump’s SEC Handle RIA’s? Wealth Management
2/07/17 Will the Market move toward a Fiduciary Standard even if DOL backs away? Wealth Management
1/25/17 Experts warn of evolving Cybersecurity Threats PFM
1/23/17 SEC expected to come out of gate slowly Pensions and Investments
1/13/17 SEC 2017 Priorities: Be Robo Cop, Examine TargetDates,
Money Funds
1/10/17 New Finra head Robert Cook wants to publish exam result summaries Investment News
1/10/17 The Morning Risk Report: VW Executive’s Arrest Stirs Compliance Liability Concerns Wall Street Journal
1/10/17 A post-election perspective on financial regulatory compliance Compliance Week
1/05/17 The Morning Risk Report: Compliance Services Firm Form Council to Promote Best Practices Wall Street Journal
1/03/17 DOL, Data Analytics Dominate Compliance Budgets Ignites
12/30/16 The keys to a stress-free SEC inspection PFM
12/29/16 Court ruling gives advisers ammo to fight the SEC over administrative law judges Investment News
12/23/16 Survey Roundup: Crystal Ball Predictions for Compliance for 2017 Wall Street Journal
12/22/16 Nine US regulatory predictions for 2017 PFM
12/16/16 Finra enforcement chief Brad Bennett to resign Investment News
11/28/16 Disassembly of Dodd-Frank won’t be easy, “Regulatory spaghetti” touches many areas; law has its fans and opponents Pensions and Investments
11/16/16 What happens when an OSJ doesn’t safeguard the cloud newsbug_financialplanning
11/10/16 SEC uses F-Squared saga to drive home due diligence message Investment News
11/01/16 SEC to Focus on Whistleblower Compliance Among Brokers Investopedia
10/25/16 SEC Examiners to Look at Advisers’ Compliance With Whistleblower Rules Wall Street Journal
10/20/16 FINRA proposes rule to prevent elder financial abuse Investment News
10/20/16 The Morning Risk Report: Regulators Target Individuals, Not Always Compliance Wall Street Journal
10/17/16 SEC Exams Getting More Targeted, Data-Driven Wall Street Journal
10/14/16 Elizabeth Warren asks Obama to replace SEC’s Mary Jo White Investment News
10/11/16 FAs Tell Finra Boss: Leave the Good Ones Alone Financial Advisor IQ
10/11/16 Elliott’s Take: Is Private Equity Listening for Whistleblowers? Wall Street Journal
10/6/16 Advisers want Finra to focus on the ‘bad guys’ and leave the rest alone Investment News
10/5/16 UBS to Pay $15M to SEC for Not Training Reps on Risky Products Think Advisor
9/26/16 $4 Million Whistleblower Award Just a Start? Attorneys Say Yes Inside Counsel
9/13/16 Survey: Financial Services Firms Are Overdue for SEC Exams newsbugs_inside_counsel
9/9/16 SEC Snags Raymond James, Baird for Wrap Fee Violations Think Advisor
9/6/16 Majority of money managers keeping up to date on compliance reviews — survey Pensions and Investments
9/02/16 The Morning Risk Report: Alternative Investment Firms Get Compliance Religion Wall Street Journal
9/02/16 Survey Roundup: Quarter of Bank Breaches Due to Lost, Stolen Devices Wall Street Journal
8/30/16 Why the SEC case against Fortius matters PFM
8/27/16 Hedge funds stoop to new lows after mishandling fees, accounts New York Post
8/23/16 Apollo Global Management Charged with Misleading Investors CFO
8/16/16 Compliance concerns drive more hedge fund business decisions Opalesque
8/11/16 Wealth Adviser Daily Briefing: 401(k) and 403(b) Suits… Wall Street Journal
8/10/16 Finra wants to up annual gift limit to $175 Investment News
8/10/16 FINRA Floats Rule Changes on Gifts, Noncash Comp Think Advisor
7/1/16 60 Seconds: Outsourced CCOs HFM Week Compliance
6/17/16 12 Steps for an Exam-Proof Cybersecurity Plan Think Advisor
6/1/16 From campaign rhetoric to compliance regulation Fund Operations
5/1/16 Test Anxiety Institutional Investor
4/25/16 Keep Your Robo Cool or It Might Land You in Hot Water FA IQ
3/23/16 RIA Tensions Rise as the SEC Opens Door to Third-Party Examiners Institutional Investor
3/14/16 Podcast: Compliance challenges in financial services Compliance Week
2/24/16 Outsourced Compliance Officer Trend Renews Standards Debate  Wall Street Journal
1/25/16 Cybersecurity Among the Top Risks Confronting Boards Ethisphere
1/11/16 Chief compliance officers prepare for closer SEC scrutiny Pensions and Investments
1/5/16 SEC Watch: No Respite on Regulatory Reform in 2016 Compliance Week
12/28/15 After years of waiting, fiduciary rule could finally become reality Pensions and Investments
12/24/15 Asset Management To Buckle Down In 2016 Law 360
12/22/15 The Birth of a Hedge Fund The Alert Investor
12/11/15 SEC Guards Fund Industry Turf With New Derivatives Rules Law 360
12/8/15 SEC’s Concerns Prod a Rethinking of Outsourced Compliance Compliance Week
10/27/15 Finra Penalizes Firms for Failing to Waive Mutual Fund Fees Wall Street Journal
10/13/15 SEC Fine Could Lead To Limits On Structured Note Offerings Law 360
8/14/15 Newswire hacking highlights cyber and outsourcing risks Risk
8/6/15 SEC Judge May Temper Agency Focus On Compliance Pros Law 360
8/3/15 UK’s Guilty Verdict In Libor Trial Bodes Well For DOJ Law 360
7/22/15 US hedge fund managers shun Europe over regulation Financial News
6/21/15 Attorney Tells Advisors How To Avoid Fraud Financial Advisor
6/19/15 4 Ways Firms Are Failing Associates  Law 360
6/16/15 SEC Spotlights Outsourced CCOs in Data Hunt Ignites
6/12/15 Ruling Helps Firms Make Case for Outsourced CCOs Wall Street Journal
5/12/15 Regulators’ alert on robo-advice puts advisers on notice Investment News
4/28/15 Audit Litigation Risk Down, but Not Out Compliance Week
4/22/15 SEC Sends Warning To Compliance Chiefs With BlackRock Fine Law 360
4/22/15 A rush to disclose  Private Funds Manager
3/20/15 SEC Big Seeks to Punish Firms for ‘Unreasonable’ Document Delays Ignites
3/11/15 SEC Probe Of Murky Fund Fees Sparks Cry For Rule Clarity Law 360
2/25/15 SEC sets sights on gift policies Private Funds Manager
2/04/15 Advisers identify wrong state on ADV filings Investment News
1/11/15 Lax Morgan Stanley security has some blame in data leak, too New York Post
1/2/15 7 Trends That Will Drive Private Equity In 2015 Law 360
12/22/14 Congressional changes raise prospects for legislative action Pensions and Investments

Press Releases

Date Title & Link
8/15/17 Financial Executives Criticize Their Compliance Programs
6/8/17 Cipperman Compliance Services and Align Cybersecurity Announce Strategic Partnership for Financial Services Firms
1/03/17 Leading Compliance Consulting Firms Join BasisCode Advisory Council (HTML)
11/12/15 Event Hosted by Cipperman Compliance Services Featuring Financial Industry Experts is a Success (HTML)
8/6/15 Financial Services Industry Embracing Compliance, New Cipperman Compliance Services Survey Says (HTML)
8/14/14 Compliance Investment and Commitment Falls Short (PDF)
3/1/14 Chief Marketing Officer Rob Prucnal Joins Cipperman Team (Doc)
12/10/13 “Our Take Live” Alerts Now Reaching Over 2,000 Followers (HTML)
9/27/13 Jason Ewasko Joins Leading Philadelphia Area Compliance Services Firm (Doc)
7/2/13 Growth at Leading Philadelphia Area Compliance Services Firm (Doc)
1/17/13 CCS Wins “Future 50” Award (HTML)
9/13/12 Cipperman Compliance Services Expands Team (Doc)