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Compliance Services

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
    • Training
    • Compliance committee/management review
    • Compliance calendar
    • Certificates and notices
    • Cybersecurity Assessment
    • Licensing
    • 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?