CCS provides chief compliance officer services to money managers, broker-dealers, registered funds, and private equity firms. CCS has grown to be one of the largest and most experienced teams of compliance professionals focused exclusively on the investment management industry. Our professionals include senior lawyers and experienced compliance professionals who have real-world compliance experience with asset management firms, fund companies, and broker-dealers as well as law firms and other industry service providers. Many of our compliance professionals have more than 20 years of industry experience, and our senior professionals average more than 15 years of experience. We work with a wide range of clients, which enables us to offer a best practices, real-world perspective on how regulations impact your business.
CCS (directly and through our predecessor) has been providing compliance services since 2004. The firm was founded by Todd Cipperman, who has over 25 years’ experience in the investment management industry, including service as general counsel of SEI Investments and extensive private practice experience with major law firms.
Leveraging CCS’s professionals and resources offers many benefits to advisers, broker-dealers and their senior management. Most significantly, CCS provides a high degree of compliance independence and accountability. CCS also offers direct subject matter expertise to augment outside and inside counsel. And, unlike smaller providers, a client can rely on a substantial team of experienced professionals. Using CCS allows clients to free up internal resources and save human resource costs.
CCS provides chief compliance officer services to SEC registered institutional managers, hedge fund sponsors, wealth managers, and registered fund advisers. We also work with many fintech companies, such as robo-advisers and trading platforms, whose business models require SEC registration and compliance.
CCS people serve as CCO to open-end mutual funds, closed-end funds, fund-of-funds, BDCs, interval funds, ETFs, and series trusts. We have experience with traditional asset classes as well as alternative assets such as private credit, collectibles, litigation financing,
e-sports, and crypto.
We service firms that invest in real estate, natural resources, distressed debt, operating companies, and infrastructure. We serve as CCO to PE firms that focus on growth, mezzanine financing, buyout, secondaries, international and venture.
CCS has a dedicated team that services the unique needs of FINRA-regulated broker-dealers. We will completely assume the CCO role. Our clients include retail BDs, fund distributors, variable product advisers, financial planners, third party marketers, fintech platforms, and product specialists.
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