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

Enforcement May Follow SEC’s Cybersecurity and Privacy Warning

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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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Events

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

2019 ETP Spring Forum
New York Athletic Club, New York, NY (Apr 30, 2019). Contact us to meet Jason Ewasko

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

2019 FINRA Annual Conference
Marriott Marquis, Washington, DC (May 15-17, 2019). Contact us to meet Larry Clay, Ray Calvano, Jay Haas

US Bank 2019 Client Conference
The American Club, Kohler, WI. (June 3-5, 2019). Contact us to meet Doug Tyre, Jason Ewasko, Andy Chica

Gaining the Edge, Hedge Fund Conference
Union League Club, Chicago, IL (Jun 19). Contact us to meet Jason Ewasko

IA Watch Commitment to Compliance
The Inn at Penn, Philadelphia, PA (Sep 16). Contact us to meet Joe Scavetti and Mark DeAngelis

2019 NSCP National Conference
Hilton Baltimore, Baltimore, MD (Oct 20-23). Contact us to meet Jon Wowak and Jenna Brydges

Gaining the Edge, Hedge Fund Conference
 The Roosevelt Hotel, New York, NY (Nov 4-5). Contact us to meet Todd Cipperman and Jason Ewasko

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

Fund Manager Did Not Conduct Adequate Investment Due Diligence April 25, 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

Fund Manager Did Not Conduct Adequate Investment Due Diligence April 25, 2019

A formerly-registered fund manager was fined and censured for failing to conduct sufficient due diligence on underlying investments, which resulted in significant losses for the funds.  The fund manager invested $4 Million in a Norwegian trading strategy that promised repayment plus $40 Million in interest.  The fund manager represented that… Read more

Marketplace Lender Fined $3 Million for Overstating Returns Due to Coding Errors April 24, 2019

A marketplace lender agreed to pay a $3 Million fine for overstating returns because of coding errors.  The SEC asserts that the firm’s legacy coding omitted charged-off loans from historical performance calculations once the charged-off loans were sold to a third party.  According to the SEC, the firm knew as… Read more

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