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HELPFUL INFORMATION

In addition to the CCS Our Take regulatory blog, and daily email alert, Our Take (available by subscription), Cipperman Compliance Services gathers and freely disseminates a wide range of regulatory compliance resources for the benefit of our clients and prospects. Below is a partial list of resources that are currently available through CCS.

Survey Results

2017 C-Suite Survey Results
2016 C-Suite Survey Results
2015 C-Suite Survey Results
2014 C-Suite Survey Results

Regulatory Information

SEC v. Howey (definition of “security”)

Broken Windows speech – Mary Jo White October 2013

FINRA Exam Priorities 2018

SEC Exam Priorities 2018

Share Class Selection Disclosure Initiative

In re Scottrade (Mass sues to enforce fiduciary rule)

Digital Realty Trust v. Somers (whistleblowers)

Gabelli v. SEC (SEC statute of limitations)

Kokesh v. SEC (SEC statute of limitations)

SEC cybersecurity disclosure guidelines

Chamber of Commerce v. DoL (5th Circuit vacates DoL fiduciary rule)

Enforcement Division 2018 Annual Report

OCIE Risk Alert re advisory fees

OCIE Risk Alert re Advertising

OCIE Risk Alert – IA Best Execution

OCIE Risk Alert re Adviser Cash Solicitation

OCIE Sweep of Funds and ETFs

In re Yahoo (failure to timely disclose hack)

Speech: When is cryptocurrency a security?

Schneiderman v. Credit Suisse (Martin Act statute of limitations)

Lucia v SEC (appointment of SEC ALJs)

Inadvertent Custody

DAO report re digital tokens

Compliance Outsourcing Recognized
OCIE Core Request for Information
SEC Examination Document List

Conference Summaries

FIA Conference 2018

Private Fund Compliance Forum May 2018

IAA Compliance Conference Report 2018

Philadelphia Compliance roundtable 3-13-18

FINRA Conference 2018

Presentations

Form PF
Insourcing vs. Outsourcing Debate
ICI Legal Forum: May 1, 2013

Fund Marketing and Sales Practices
Variable Annuity Sales Practices
Mutual Fund Basics
Investment Company Products
Selling 529 Plans
Compensation for Sales of Mutual Funds

Articles

Fiduciary Rule Interpretation 5-2-18

Regulation Best Interest 5-2-18

Compliance RFP

SEC and Investor Scrutiny of Sub-Adviser Oversight
Advisers Pay-to-Play Rule 206(4)-5
Becoming the Strategic CCO
RIA Compliance Requirements
SEC Issues Benefiting Fund Industry
Insourcing vs. Outsourcing
SEC Sends Sharp Warning
How Much Should RIAs Shake In Their Boots
SEC Fines Three Advisers