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 Proposes Overhaul of BDC and Closed-End Fund Rules March 21, 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 Proposes Overhaul of BDC and Closed-End Fund Rules March 21, 2019

The SEC has proposed an overhaul of the registration and offering rules for business development companies and closed-end funds.  The proposal provides for a shelf registration for funds with a public float of at least $75 Million and a more flexible offering and communications scheme for Well-Known Seasoned Issuers with… Read more

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

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