Cipperman provides a broad array of compliance services. Below are attributes of an effective compliance program. We work with our clients to define which tasks they want to perform in-house, and which outsourced compliance services they want us to take on.
We provide 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.
Our primary levels of service are:
- Outsourced Chief Compliance Officer
- Support Your In-House CCO
- One-Time Consulting Engagements
What is Compliance?
- Appointment of Chief Compliance Officer
- Implement/Maintain compliance manual
- Ongoing testing of policies and procedures
- Annual review and report of findings
- Risk Assessment
- Monitor operations
- Compliance committee/management review
- Compliance calendar
- Certificates and notices
- Cybersecurity Assessment
- Investigate misconduct
- Manage regulatory inquiries and exams
- Code of Ethics and pre-clearance requirements
- ADV updates
- Review marketing materials
- SEC filings
- Respond to Clients/Boards
- Due diligence on vendors/service providers
Who are our clients?