Cipperman Compliance

Thank you to our clients and partners for all their endless support! We are proud to share that we will be joining forces with @ForesideTweets. Click below to read the full press release: bit.ly/3ujWwOs #GRC #Compliance

Utilizing online tools and committing to no less than 6 on-site visits are just two of the #bestpractices we follow to implement an effective #remote #compliance program. See our full list of tips below: bit.ly/3JyFTU1

@Cipperman's ETF tip: Make sure your #funds match your #investment objective and limitations. See why this is important in our recent blog: bit.ly/35G2bnX

In honor of #WomensHistoryMonth we would like to thank all of the women who are part of the CCS team for their hard work and dedication! bit.ly/36fIILG

A recent #SEC case forced a #venturecaptial manager to pay $5.4M for overcharging clients and had the #firm agree to create a #CCO position. Hear @Cipperman's take in our latest blog: bit.ly/3L7Nolh

@Cipperman and Douglas Tyre from our team will be at @ICI's 2022 #InvestmentManagement Conference next week, will you? bit.ly/3L9F8kY #compliance #connect

The #SEC recently proposed a new #cybersecurity regime impacting #compliance and reporting for advisers and #funds. See what this new rule entails and our take in @Cipperman's recent blog: bit.ly/3wwch6n

Our Friday Lists are just a fraction of the #bestpractices we provide for our clients and prospects. See how these #resources can help you and your #firm: bit.ly/3eRH2Il

This week, we are highlighting our General Counsel at CCS: Dianna M. Descoteaux, Esq. Dianna has given us more than 19 years of experience and is a significant member of our team. Thanks, Dianne! bit.ly/3Kb5qCP

“Robo-advisers must ensure their marketing materials are not misleading and that conflicts are disclosed to #investors.” See what prompted the #SEC to share this reminder in our recent blog: bit.ly/35G2bnX

The #SEC recently accused a former founder and #CIO of manipulating valuations, impacting a registered fund and a cloned #hedgefund. Details in our latest blog: bit.ly/3sBHwdQ

The #SEC has recently fined an RIA $30M for #defrauding current and prospective clients. @Cipperman shared his thoughts on the case and the SEC's actions with @ThinkAdvisor: bit.ly/3J4ryig

As part of our #compliance services, we will consult as requested on any #brokerdealer compliance concerns facing our clients. See how CCS can help you: bit.ly/3iqPgJ6

A new #SEC proposal, if approved, will shorten the initial 13D filing deadline from 10 days to 5 days, as well as making changes to 13G filing. Hear our thoughts below: bit.ly/36ZmJsj

Recent concern of Russian #cryptocurrency use has led to a push for new #regulations in the industry. Hear @Cipperman's thoughts and who he believes is best suited to regulate #crypto on @CNBC's Crypto World with @tanayamac: cnb.cx/35P8NR9