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CCS Releases Summaries of Regulation Best Interest, Form CRS, and Companion Interpretations July 12, 2019

 Last month, the SEC adopted Regulation Best Interest for broker-dealers making recommendations to retail clients and adopted the new Form CRS requiring advisers and broker-dealers to provide standardized disclosure to retail customers.  Companion releases included an interpretation of an adviser’s fiduciary responsibilities as well as the contours of the “solely… Read more

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Cipperman provides managed compliance services to registered funds, money managers, private fund sponsors, broker-dealers, and CPO/CTAs. CCS develops, implements, and operates complete and customized compliance programs that include ongoing review, testing, management, training, and regulatory response. CCS leverages the experience of a multidisciplinary team and takes full accountability for its advice and services.

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Compliance. It’s all we do.

“Utilizing an outsourcing firm provides access to a deep-bench compliance team, avoids the fixed costs and management issues of hiring an in-house full-time employee, demonstrates compliance independence, shares liability and lower costs.”   – Todd Cipperman, Founding Principal

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