Sponsors & Participants

Platinum Sponsors

Cipperman Compliance Services (CCS) is an independent firm offering a third-party perspective on regulatory compliance. CCS grew out of Cipperman & Company, a law firm focused exclusively on the investment management industry and related regulatory issues, and has been providing compliance services since 2004. We deliver outsourced compliance services to registered funds, money managers, alternative investment firms including hedge and private equity funds, and broker-dealers.

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Our professionals truly are experts in the financial services industry, having direct experience in the business lines that they support. CCS professionals know the law. They know how to answer and respond to complex and practical compliance questions, and can provide a real-world perspective on how ever-changing compliance regulations impact your firm and related entities.

We work with our clients to establish the service model that fits their needs without being an impediment to their business. We provide the full array of CCO services or work with you to define a specific set of services to support your in-house compliance department.

Given the visibility of regulatory oversight in today’s environment, an independent partner is extremely valuable to fund sponsors and investment managers.

MGL Consulting LLC

Originally founded in 1984, MGL Consulting, LLC (MGL) is nationally recognized in the financial industry as a leading provider of regulatory compliance consulting services to broker-dealers, investment advisers, and commodities firms.  Our team of experienced professionals have more than 400 years of collective experience encompassing compliance, regulatory, accounting, and legal disciplines.  Our firm’s broad industry experience and depth of knowledge provide welcome, cost-effective best in class solutions to many of the compliance and staffing challenges facing firms in today’s changing regulatory and business environment.

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Many of our professionals have served in either Senior Regulatory or Chief Compliance Officer roles within the financial services industry.  A frequent speaker at industry conferences, our founder has served on both FINRA’s District and Regional Committees as well as other industry committees.  These experiences and insider roles provide MGL an unique insight into regulatory changes and challenges impacting our industry members.  At MGL, we pride ourselves on working as a team alongside our clients.  Whether your firm is in a period of expansion or contraction, we can help support your compliance programs and assist you in achieving your business goals.  MGL has extensive experience working with firms who conduct business domestically and across international borders.  Our decades-long service of a global client base allows us to ensure regulatory compliance for foreign-based firms, as well as supporting domestic firms’ expansion beyond U.S. borders.

As a client of MGL, your firm will be supported by a team of professionals who stand ready to help you, no matter what challenges your firm may face.  Whether your firm is just starting out, in the process of expanding its business, or needing help navigating turbulent markets and regulatory storms, we are here to assist and guide you.  Let our proven regulatory expertise enable your business success in this volatile environment.

 

Take advantage of this unique opportunity to showcase your organization to your clients and prospects. Become a sponsor now!