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Latest from Our Take…

Firm Wrongly Relied on Inexperienced Compliance Associate August 15, 2019

  A broker-dealer was censured and fined for delegating certain regulatory obligations to an inexperienced compliance associate.  The firm filed forms with FINRA that certified due diligence about OTC issuers whose quotations it published.  The firm’s policies and procedures required the trader to conduct the necessary due diligence and a… 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.

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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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