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Latest from Our Take…

FINRA Releases Exam Findings October 23, 2019

  FINRA has released its 2019 Report on Examination Findings and Observations, offering insight on enforcement cases and risk management concerns.  FINRA provides a long list of examination and enforcement findings including negligent practices related to (i) supervision (failure to amend WSPs for new or amended rules, weak branch office… 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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