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Latest from Our Take…

SEC Has Made Awards to Only 0.2% of Whistleblowers November 18, 2019

  The SEC reported near-record activity in its whistleblower program for 2019.  The Office of the Whistleblower received more than 5,200 tips in fiscal in 2019, nearly equaling last year’s record total.  However, only eight individuals received a portion of the $60 million in whistleblower awards in 2019.  Since the… Read more

Our Services

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.

 JUST RELEASED: The Compliance Advantage: Ten Must-Know Trends to Protect Your Investment Firm

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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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