Compliance is all we do.
Joined November 2016
- Tweets 1,299
- Following 1,170
- Followers 1,247
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557 Photos and videos
26 Apr 2023
TODAY IS MATCHING DAY FOR BIG CLIMB PHILLY
Step up to take cancer down with me TODAY! Your donation will be matched dollar for dollar (up to $10,000 aggregate). Please support our fundraising efforts by making a donation ASAP to double your impact:…lnkd.in/eB9yRraC
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17 Apr 2023
STEP UP TO TAKE CANCER DOWN: BIG CLIMB PHILLY FOR LLS MAY 6
lnkd.in/e-4YNew4
On May 6, I am leading a team in the Big Climb Philly, where we climb the steps of Lincoln Financial Field to raise money to fund the therapies…lnkd.in/e7CqRBW6 lnkd.in/eaE6tW5J
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17 Apr 2023
STEP UP TO TAKE CANCER DOWN: BIG CLIMB PHILLY FOR LLS MAY 6
lnkd.in/e-4YNew4
On May 6, I am leading a team in the Big Climb Philly, where we climb the steps of Lincoln Financial Field to raise money to fund the therapies and treatments to treat l…lnkd.in/eX2M9JDj
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10 Mar 2023
CHALLENGE: Fear of ChatGPT and AI
MY TAKE: Rather than ban ChatGPT, we should start using it more.
lnkd.in/eMuAz2wR lnkd.in/e937qJpG
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22 Feb 2023
CHALLENGE: Lawyers reporting suspicious transactions.
Congress should not require lawyers to file Suspicious Activity Reports.
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16 Feb 2023
CHALLENGE: Crypto regulation.
The crypto industry needs an Investment Company Act.
lnkd.in/eWYdaK7d lnkd.in/eYFfwx7H
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16 Feb 2023
CHALLENGE: Crypto regulation.
The crypto industry needs an Investment Company Act. lnkd.in/eWYdaK7d
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10 Feb 2023
CHALLENGE: Who’s afraid of the big bad banks?
Should financial advisers fear the investment banks pivoting to wealth management? lnkd.in/e9522nZ6
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31 Jan 2023
CHALLENGE: Docking employees for regulatory violations
Should firms hold their employees accountable for compliance violations by withholding compensation to satisfy regulatory fines?
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31 Jan 2023
CHALLENGE: Docking employees for regulatory violations
Should firms hold their employees accountable for compliance violations by withholding compensation to satisfy regulatory fines?
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23 Jan 2023
To Compete, or Non-Compete?
Should financial and investment firms continue to use covenants not to compete?
#hiring #employee #tradesecrets lnkd.in/eDbf3Fcs
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17 Jan 2023
After 2022's poor investment returns, should an investment firm consider changing its investment model? lnkd.in/epDfMtpS
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17 Sep 2022
I am pleased to announce the formation of Cipperman Analytics, a management consulting firm for growth-minded investment managers and fund managers. We will advise on strategic objectives, distribution strategies, financing options, board and corporate g…lnkd.in/eQndEcVw
17 Sep 2022
I’m happy to share that I’m starting a new position as Managing Principal at Cipperman Analytics! lnkd.in/ea5SyH5N
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7 Apr 2022
Thank you to our clients and partners for all their endless support! We are proud to share that we will be joining forces with @ForesideTweets.
Click below to read the full press release:
bit.ly/3ujWwOs
#GRC #Compliance
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4 Apr 2022
Compli-pros should share this 26-page tome with their bosses to press their cases about why they need more resources.
Cipperman Compliance Services, LLC
#investmentadvisers #outsourcing #complianceofficer lnkd.in/es5DKxBG
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3 Apr 2022
Utilizing online tools and committing to no less than 6 on-site visits are just two of the #bestpractices we follow to implement an effective #remote #compliance program. See our full list of tips below: bit.ly/3JyFTU1
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30 Mar 2022
In honor of #WomensHistoryMonth we would like to thank all of the women who are part of the CCS team for their hard work and dedication! bit.ly/36fIILG
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29 Mar 2022
A recent #SEC case forced a #venturecaptial manager to pay $5.4M for overcharging clients and had the #firm agree to create a #CCO position. Hear @Cipperman's take in our latest blog: bit.ly/3L7Nolh
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