Welcome to Cipperman Compliance!

Latest from Our Take…

Broker Should Have Disclosed Investment Product Red Flags January 21, 2020

  An unregistered broker agreed to pay $600,000 to settle charges that he sold third party investments without disclosing numerous red flags and negative facts to potential investors.  According to the SEC, the respondent painted an overly rosy picture of the investments (ultimately Ponzi schemes) and the sponsor by highlighting… 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

Available on Amazon

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

 Subscribe to “Our Take” Blog

Get timely, concise, and practical information by becoming part of our e-mail distribution list. You’ll receive our daily alerts right in your inbox.