Practical Insights for Compliance Officers [Webinar] - Q&A: Your Questions Answered

Q&A: Your Questions Answered

Mr. Cipperman will assess the most impactful regulatory developments of 2016, review results of the recent CCS survey of financial industry C-Suite opinion leaders, and give you his take on the fluid regulatory environment.This webinar was co-hosted with Todd Cipperman of Cipperman Compliance Services on Nov 17th.


 You can download a full copy of the slides from this webinar.



Full video transcript available below:

Shane: The first question Todd has come in here if I can pass it over to you. It asks, 

Will technology tools help insulate the CTO from liability?

Yeah. I think that’s a great question and I think the answer is absolutely. The amount of data that’s going on in companies is ever increasing and, at the end of the day, you want to be able to show the regulators significant due diligence in how you are managing risk and technology solutions are a way you can point to that and say, “Look. We spent our money on this.” It’s effective, certainly. It’s got to be effective, but just the mere fact that you’re using tools and technology to make the risk management better, in and of itself, will insulate you from liability, absolutely.

Thank you for the answer. Could you please comment? What will be the potential impact? A very good question here would be: The SEC Chairwoman Mary Jo White departure at the end of the year, at the end of Obama’s Administration.

Yeah. Well, the impact I mean, there is good and bad. I think maybe the polling question about the asset management industry benefiting; I think if we can finally get a full SEC to do some work, I think it’s been lock jaw over there for the last six months and maybe a year. There is not a lot of new rule making, not a lot happening. I think industry participants; my view is I’ve been doing this a long time. I’ve worked with a lot of hedge, private equity, traditional managers, long only, and most of them want to do the right thing. They just want to know what to do. I think they’re looking for guidance so whether it’s a republican-controlled SEC or a democrat-controlled SEC I don’t think it matters. At this point, we’d like to see a full SEC getting some work done. I think Mary Jo White leaving and bringing in a new chair will end some uncertainty and I think that’s just good for the industry no matter what they do.


This webinar was co-hosted with Todd Cipperman of Cipperman Services LLC. To learn more visit

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