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Cipperman 4th Annual Industry Survey

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Cybersecurity Insights

Compliance Minute Podcast: The 5 Stages of Cybersecurity Grief

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Cybersecurity Exam Focus

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Front Line Risks for Fund Managers to Consider

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SEC Risk Alert

SEC Warns Advisers and Broker-Dealers to Protect against Ransomware

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Most Overlooked Compliance Failures

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In The News

Cipperman’s Jason Ewasko and Jon Wowak team up with BasisCode for the NSCP webinar on compliance consulting

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SEC Paves Way for M&A With Performance Reporting Relief

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Shops Move to Automate Valuation, but Risks Abound: Survey

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SEC orders new enforcement hearings as a result of Supreme Court ruling

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Gotcha! 10 lessons from brokers gone bad

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SEC Releases Another Updated FAQ on Custody Rule

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Events

The IAA’s annual Investment Adviser Compliance Mar 15-16, 2018 Hyatt Regency Washington on Capitol Hill Meet Joseph J. Scavetti, Jr. Cipperman Compliance Services Contact today: jscavetti@cipperman.com ICI Mutual Funds and Inst Mgt Conference JW Marriott San Antonio, TX Mar 18-21, 2018 Contact Us today to meet: Todd Cipperman (tcipperman@cipperman.com) Douglas Tyre (dtyre@cipperman.com) SIFMA C&L Annual Seminar JW Marriott Orlando, FL Mar 19-21, 2018 Contact us today to meet: Rob Spengler (rspengler@cipperman.com)

Podcasts

Pensions and InvestmentsJon Wowak interviews Todd Cipperman about his new book: The Compliance Advantage: Ten Must-Know Trends to Protect Your Investment Firm

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Latest Alert

FINRA Examination Priorities Letter Focuses on RegTech and Digital Assets January 23, 2019

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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

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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

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Blog

Timely Insights on Compliance

FINRA Examination Priorities Letter Focuses on RegTech and Digital Assets January 23, 2019

FINRA released its 2019 Examination Priorities Letter, spotlighting new areas including online distribution platforms and fintech, regulatory technology, digital assets, and fundraising for outside business activities.  FINRA will closely scrutinize member firms’ participation with online securities distribution platforms and whether firms are aiding the unlawful distribution of unregistered securities by… Read more

The Friday List: Effects of the Government Shutdown on the Investment Management Industry January 18, 2019

Today, we offer our “Friday List,” an occasional feature summarizing a topic significant to investment management professionals interested in regulatory issues.  Our Friday Lists are an expanded “Our Take” on a particular subject, offering our unique (and sometimes controversial) perspective on an industry topic.  As the partial federal government shutdown… Read more

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