Todd Cipperman @Cipperman
Todd Cipperman is the founding principal of both Cipperman & Company (CipCo) and Cipperman Compliance Services (CCS). cippermancs.com Wayne, PA Joined July 2010-
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Cipperman's Our Take Investment Management Substack -- CHALLENGE: Crypto regulation. cipperman.substack.com/p/challenge-cr…
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Cipperman's Our Take Investment Management Substack -- CHALLENGE: Who’s afraid of the big bad banks? cipperman.substack.com/p/challenge-wh…
Cipperman's Our Take Investment Management Substack -- CHALLENGE: Docking employees for regulatory violations cipperman.substack.com/p/challenge-do…
Cipperman's Our Take Investment Management Substack: To Compete, or Non-Compete? cipperman.substack.com/p/to-compete-o…
Cipperman's Our Take Investment Management Substack -- CHALLENGE: Asset Allocation cipperman.substack.com/p/challenge-as…
Todd Cipperman retweeted
Todd Cipperman retweeted
BDC Censured for Mischaracterizing Distributions as Income Rather than Return of Capital cipperman.com/2018/12/10/bdc…
Todd Cipperman retweeted
SEC Re-Considering Adviser Marketing and Advertising Rules cipperman.com/2018/12/07/sec…
Todd Cipperman retweeted
Compliance Failures Cost BDC Manager $4 Million in Penalties and $2.6 Billion in Assets cipperman.com/2018/12/05/com…
Todd Cipperman retweeted
SEC Allows Broker-Dealer Fund Research Reports cipperman.com/2018/12/03/sec…
Todd Cipperman retweeted
Federal Court Rules that the SEC Must Prove that Digital Tokens are Securities cipperman.com/2018/11/28/fed…
Todd Cipperman retweeted
BD Fined $2.75 Million for Omitting Customer Complaints from Forms U4 and U5 cipperman.com/2018/11/27/bd-…
Todd Cipperman retweeted
SEC Fines Two Initial Coin Offerings cipperman.com/2018/11/26/sec…
Todd Cipperman retweeted
Top 5 Regulatory Alerts – October 2018 cipperman.com/2018/11/21/top…
Todd Cipperman retweeted
Advisory Clients Did Not Receive Promised Fee Breaks cipperman.com/2018/11/20/adv…
Todd Cipperman retweeted
CFTC Penalties Nearly Triple in Fiscal 2018 cipperman.com/2018/11/16/cft…
Todd Cipperman retweeted
Dark Pool Fined $12 Million for Sending Trade Data to HFTs cipperman.com/2018/11/15/dar…
Todd Cipperman retweeted
SEC Says that Digital Tokens are Securities; Requires Trading Platform to Register as Exchange cipperman.com/2018/11/14/sec…
Todd Cipperman retweeted
CCOs Liable for Failing to “Meaningfully” Implement Compliance Programs cipperman.com/2018/11/12/cco…
Todd Cipperman retweeted
SEC Is Examining Registered Funds and ETFs for Oversight, Policies, and Conflicts cipperman.com/2018/11/09/sec…
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