Todd Cipperman

Todd Cipperman is the founding principal of both Cipperman & Company (CipCo) and Cipperman Compliance Services (CCS).

[Todd Cipperman @Cipperman]

Cipperman's Our Take Investment Management Substack -- CHALLENGE: Crypto regulation. https://t.co/mndQEQ6Quf

[Todd Cipperman @Cipperman]

Cipperman's Our Take Investment Management Substack -- CHALLENGE: Who’s afraid of the big bad banks? https://t.co/T1mlcIm5f8

[Todd Cipperman @Cipperman]

Cipperman's Our Take Investment Management Substack -- CHALLENGE: Docking employees for regulatory violations https://t.co/gLmeCeBI1v

[Todd Cipperman @Cipperman]

Cipperman's Our Take Investment Management Substack: To Compete, or Non-Compete? https://t.co/GnPYx7DFa6

[Todd Cipperman @Cipperman]

Cipperman's Our Take Investment Management Substack -- CHALLENGE: Asset Allocation https://t.co/I9CTg20YZP

[Cipperman Compliance @CippermanCS]

https://t.co/VNy436mpas https://t.co/vNvcqaiC3J

[Cipperman Compliance @CippermanCS]

BDC Censured for Mischaracterizing Distributions as Income Rather than Return of Capital
https://t.co/yWWAFBkCJw

[Cipperman Compliance @CippermanCS]

SEC Re-Considering Adviser Marketing and Advertising Rules
https://t.co/8eXpwbI3F6

[Cipperman Compliance @CippermanCS]

Compliance Failures Cost BDC Manager $4 Million in Penalties and $2.6 Billion in Assets
https://t.co/jzuzfsi1r5

[Cipperman Compliance @CippermanCS]

SEC Allows Broker-Dealer Fund Research Reports
https://t.co/MliPEjQH3U

[Cipperman Compliance @CippermanCS]

Federal Court Rules that the SEC Must Prove that Digital Tokens are Securities
https://t.co/x7RTeecKvy

[Cipperman Compliance @CippermanCS]

BD Fined $2.75 Million for Omitting Customer Complaints from Forms U4 and U5
https://t.co/ZKILfUToeB

[Cipperman Compliance @CippermanCS]

SEC Fines Two Initial Coin Offerings
https://t.co/orBcMnJ3gq

[Cipperman Compliance @CippermanCS]

Top 5 Regulatory Alerts – October 2018
https://t.co/iLEB6TM0W5

[Cipperman Compliance @CippermanCS]

Advisory Clients Did Not Receive Promised Fee Breaks
https://t.co/Nd67juSAIx

[Cipperman Compliance @CippermanCS]

CFTC Penalties Nearly Triple in Fiscal 2018
https://t.co/I75PHnFvw5

[Cipperman Compliance @CippermanCS]

Dark Pool Fined $12 Million for Sending Trade Data to HFTs
https://t.co/e8tsyJF1hg

[Cipperman Compliance @CippermanCS]

SEC Says that Digital Tokens are Securities; Requires Trading Platform to Register as Exchange
https://t.co/ySNTRjsPvA

[Cipperman Compliance @CippermanCS]

CCOs Liable for Failing to “Meaningfully” Implement Compliance Programs https://t.co/BZekJiHB3d

[Cipperman Compliance @CippermanCS]

SEC Is Examining Registered Funds and ETFs for Oversight, Policies, and Conflicts
https://t.co/mgLYIBoMhg