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

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

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

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

Firm’s Weekly Email Reviews Were Not Adequate According to FINRA April 18, 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

Firm’s Weekly Email Reviews Were Not Adequate According to FINRA April 18, 2019

FINRA censured and fined a broker-dealer for inadequate email reviews.  Although the firm, through its President/CCO, conducted weekly reviews, FINRA charges that the firm’s random sampling and lexicon-based reviews were not sufficient given the firm’s size and risk areas.  The firm used 24 search terms provided by its email provider,… Read more

SEC Warns About Failures to Protect Personal Information April 17, 2019

The SEC’s Office of Compliance Inspections and Examinations has published a Risk Alert calling out advisers and broker-dealers for their failures to protect personal information.  Based on deficiencies identified over the last 2 years, the SEC found failures related to privacy notices, policies and procedures, and physical safeguards.  The SEC… Read more

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