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

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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

Don’t Get Too Comfy … Big Surprises Could be in Store in SEC’s Reg BI, Compliance Specialist Warns

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SEC is escalating the pressure on hedge fund compliance – HFM Compliance

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Elon Musk fires back at the SEC

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Regulators Take Aim at Share Class Disclosure

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Events

SIFMA
JW Marriott Phoenix Desert Ridge, Phoenix, AZ (Mar 24-27, 2019).
Contact us to meet Jay Haas

NSCP 2019 Spring Conference
Federal Reserve Bank of Chicago, Chicago, IL (Apr 30, 2019).
Contact us to meet Stacey Gillespie

ICI General Membership Meeting
Marriott Wardman Park, Washington, DC (May 1-3, 2019).
Contact us to meet Todd Cipperman

US Bank 2019 Client Conference
The American Club, Kohler, WI. (June 3-5, 2019).
Contact us to meet Todd Cipperman

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

SEC’s Blass Announces Plans to Modernize Adviser Marketing Rules March 20, 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

SEC’s Blass Announces Plans to Modernize Adviser Marketing Rules March 20, 2019

The SEC’s Investment Management Division Director, Dalia Blass, anticipates that the Division will soon recommend changes to the adviser marketing and solicitation rules.  In her annual speech to the Investment Company Institute membership, Ms. Blass also announced initiatives for a summary shareholder report, updates to the valuation guidance, modernization of… Read more

Fund Manager Rigged Auction Process in Client Cross-Trades March 19, 2019

A private fund and CDO manager agreed to pay over $400,000 to settle charges that it facilitated an illegal cross-trade that benefitted one client over another.  The SEC alleges that the firm sold securities held by its CDO client to its private fund at an artificially low price because the… Read more

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