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Todd Cipperman
@Cipperman
Todd Cipperman is the founding principal of both Cipperman & Company (CipCo) and Cipperman Compliance Services (CCS).
Wayne, PA
Joined July 2010
230
Following
306
Followers
1.6K
Posts
Todd Cipperman
@Cipperman
over 3 years ago
Cipperman's Our Take Investment Management Substack -- CHALLENGE: Crypto regulation. https://t.co/mndQEQ6Quf
Todd Cipperman
@Cipperman
over 3 years ago
Cipperman's Our Take Investment Management Substack -- CHALLENGE: Who’s afraid of the big bad banks? https://t.co/T1mlcIm5f8
Todd Cipperman
@Cipperman
over 3 years ago
Cipperman's Our Take Investment Management Substack -- CHALLENGE: Docking employees for regulatory violations https://t.co/gLmeCeBI1v
Todd Cipperman
@Cipperman
over 3 years ago
Cipperman's Our Take Investment Management Substack: To Compete, or Non-Compete? https://t.co/GnPYx7DFa6
Who to follow
ACA Group
@ACACompliance
ACA Group is the leading #governance, #risk, and #compliance (#GRC) advisor in financial services.
Jason Lahita
@JasonLahita
Founding Partner, @StreetCred_PR.
Paul Damon
@KeramasMarComms
Sharing insights & news on funds, investments, markets & economics. Helping asset managers w/ PR, Content, Marketing & IR when not surfing. President, Keramas.
Todd Cipperman
@Cipperman
over 3 years ago
Cipperman's Our Take Investment Management Substack -- CHALLENGE: Asset Allocation https://t.co/I9CTg20YZP
Cipperman
retweeted
Cipperman Compliance
@CippermanCS
over 7 years ago
https://t.co/VNy436mpas https://t.co/vNvcqaiC3J
Cipperman
retweeted
Cipperman Compliance
@CippermanCS
over 7 years ago
BDC Censured for Mischaracterizing Distributions as Income Rather than Return of Capital https://t.co/yWWAFBkCJw
Cipperman
retweeted
Cipperman Compliance
@CippermanCS
over 7 years ago
SEC Re-Considering Adviser Marketing and Advertising Rules https://t.co/8eXpwbI3F6
Cipperman
retweeted
Cipperman Compliance
@CippermanCS
over 7 years ago
Compliance Failures Cost BDC Manager $4 Million in Penalties and $2.6 Billion in Assets https://t.co/jzuzfsi1r5
Cipperman
retweeted
Cipperman Compliance
@CippermanCS
over 7 years ago
SEC Allows Broker-Dealer Fund Research Reports https://t.co/MliPEjQH3U
Cipperman
retweeted
Cipperman Compliance
@CippermanCS
over 7 years ago
Federal Court Rules that the SEC Must Prove that Digital Tokens are Securities https://t.co/x7RTeecKvy
Cipperman
retweeted
Cipperman Compliance
@CippermanCS
over 7 years ago
BD Fined $2.75 Million for Omitting Customer Complaints from Forms U4 and U5 https://t.co/ZKILfUToeB
Cipperman
retweeted
Cipperman Compliance
@CippermanCS
over 7 years ago
SEC Fines Two Initial Coin Offerings https://t.co/orBcMnJ3gq
Cipperman
retweeted
Cipperman Compliance
@CippermanCS
over 7 years ago
Top 5 Regulatory Alerts – October 2018 https://t.co/iLEB6TM0W5
Cipperman
retweeted
Cipperman Compliance
@CippermanCS
over 7 years ago
Advisory Clients Did Not Receive Promised Fee Breaks https://t.co/Nd67juSAIx
Cipperman
retweeted
Cipperman Compliance
@CippermanCS
over 7 years ago
CFTC Penalties Nearly Triple in Fiscal 2018 https://t.co/I75PHnFvw5
Cipperman
retweeted
Cipperman Compliance
@CippermanCS
over 7 years ago
Dark Pool Fined $12 Million for Sending Trade Data to HFTs https://t.co/e8tsyJF1hg
Cipperman
retweeted
Cipperman Compliance
@CippermanCS
over 7 years ago
SEC Says that Digital Tokens are Securities; Requires Trading Platform to Register as Exchange https://t.co/ySNTRjsPvA
Cipperman
retweeted
Cipperman Compliance
@CippermanCS
over 7 years ago
CCOs Liable for Failing to “Meaningfully” Implement Compliance Programs https://t.co/BZekJiHB3d
Cipperman
retweeted
Cipperman Compliance
@CippermanCS
over 7 years ago
SEC Is Examining Registered Funds and ETFs for Oversight, Policies, and Conflicts https://t.co/mgLYIBoMhg
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