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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

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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SEC Paves Way for M&A With Performance Reporting Relief

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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 InvestmentsA New Fiduciary Rule…

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Latest Alert

SEC Re-Considering Adviser Marketing and Advertising Rules December 7, 2018

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“Our Take” Blog

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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 Re-Considering Adviser Marketing and Advertising Rules December 7, 2018

The SEC’s 2019 regulatory agenda includes amendments to adviser marketing rules.  The SEC will consider Rule 206(4)-1, the general advertising rule that prohibits fraudulent statements and specifically limits testimonials, past specific recommendations, and “black box” claims.  The SEC will also re-visit Rule 206(4)-3, which regulates the payment of cash solicitation… Read more

Compliance Failures Cost BDC Manager $4 Million in Penalties and $2.6 Billion in Assets December 5, 2018

 A BDC manager’s compliance failures led to nearly $4 Million in fines, disgorgement and penalties and the loss of its advisory business.   The SEC charges the firm with misallocating overhead expenses to the registered Business Development Companies it managed and with overvaluing portfolio companies.  The SEC maintains that the registrant… Read more

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Satire

The Lighter Side of Compliance…