@Cipperman profile picture
Todd Cipperman @Cipperman

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

Joined July 2010
  • Tweets 1,640
  • Following 230
  • Followers 306
205 Photos and videos
Cipperman's Our Take Investment Management Substack -- CHALLENGE: Crypto regulation. cipperman.substack.com/p/cha…

1
38
Cipperman's Our Take Investment Management Substack -- CHALLENGE: Who’s afraid of the big bad banks? cipperman.substack.com/p/cha…

1
1
42
Cipperman's Our Take Investment Management Substack -- CHALLENGE: Docking employees for regulatory violations cipperman.substack.com/p/cha…

1
37
Cipperman's Our Take Investment Management Substack: To Compete, or Non-Compete? cipperman.substack.com/p/to-…

1
16
Cipperman's Our Take Investment Management Substack -- CHALLENGE: Asset Allocation cipperman.substack.com/p/cha…

1
22
Todd Cipperman retweeted
Cipperman Compliance@CippermanCS
11 Dec 2018
lnkd.in/e2v7zyb lnkd.in/extqAxP
1
2
Todd Cipperman retweeted
Cipperman Compliance@CippermanCS
10 Dec 2018
BDC Censured for Mischaracterizing Distributions as Income Rather than Return of Capital cipperman.com/2018/12/10/bdc…
1
Todd Cipperman retweeted
Cipperman Compliance@CippermanCS
7 Dec 2018
SEC Re-Considering Adviser Marketing and Advertising Rules cipperman.com/2018/12/07/sec…
1
Todd Cipperman retweeted
Cipperman Compliance@CippermanCS
5 Dec 2018
Compliance Failures Cost BDC Manager $4 Million in Penalties and $2.6 Billion in Assets cipperman.com/2018/12/05/com…
1
Todd Cipperman retweeted
Cipperman Compliance@CippermanCS
3 Dec 2018
SEC Allows Broker-Dealer Fund Research Reports cipperman.com/2018/12/03/sec…
2
1
Todd Cipperman retweeted
Cipperman Compliance@CippermanCS
28 Nov 2018
Federal Court Rules that the SEC Must Prove that Digital Tokens are Securities cipperman.com/2018/11/28/fed…
2
1
Todd Cipperman retweeted
Cipperman Compliance@CippermanCS
27 Nov 2018
BD Fined $2.75 Million for Omitting Customer Complaints from Forms U4 and U5 cipperman.com/2018/11/27/bd-…
1
Todd Cipperman retweeted
Cipperman Compliance@CippermanCS
26 Nov 2018
SEC Fines Two Initial Coin Offerings cipperman.com/2018/11/26/sec…
1
Todd Cipperman retweeted
Cipperman Compliance@CippermanCS
21 Nov 2018
Top 5 Regulatory Alerts – October 2018 cipperman.com/2018/11/21/top…
1
Todd Cipperman retweeted
Cipperman Compliance@CippermanCS
20 Nov 2018
Advisory Clients Did Not Receive Promised Fee Breaks cipperman.com/2018/11/20/adv…
1
1
Todd Cipperman retweeted
Cipperman Compliance@CippermanCS
16 Nov 2018
CFTC Penalties Nearly Triple in Fiscal 2018 cipperman.com/2018/11/16/cft…
1
Todd Cipperman retweeted
Cipperman Compliance@CippermanCS
15 Nov 2018
Dark Pool Fined $12 Million for Sending Trade Data to HFTs cipperman.com/2018/11/15/dar…
2
1
Todd Cipperman retweeted
Cipperman Compliance@CippermanCS
14 Nov 2018
SEC Says that Digital Tokens are Securities; Requires Trading Platform to Register as Exchange cipperman.com/2018/11/14/sec…
1
Todd Cipperman retweeted
Cipperman Compliance@CippermanCS
12 Nov 2018
CCOs Liable for Failing to “Meaningfully” Implement Compliance Programs cipperman.com/2018/11/12/cco…
1
Todd Cipperman retweeted
Cipperman Compliance@CippermanCS
9 Nov 2018
SEC Is Examining Registered Funds and ETFs for Oversight, Policies, and Conflicts cipperman.com/2018/11/09/sec…
2
2
Load more