Todd Cipperman - The Compliance Advantage: Ten Must-Know Trends

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Summary: Todd Cipperman is the founding principal of Cipperman Compliance Services (CCS). Since 2004, CCS and its affiliates have helped advisers, broker-dealers, and funds protect their franchises through the development, implementation, and operation of customized compliance programs that include ongoing review, testing, management, training, and regulatory response. CCS leverages the experience of a multi-disciplinary team and takes full accountability for its advice and services.  Mr. Cipperman has over 25 years of experience in the investment management and financial services industries. He has represented a wide range of investment management clients with a focus on distribution issues facing investment managers and broker-dealers. He previously served as general counsel of SEI Investments, a public mutual fund and financial technology firm, including its $65 Billion proprietary mutual fund family. He spent several years in private practice on Wall Street representing both buy and sell side clients in investment management and capital markets transactions. He is a graduate of the University of Pennsylvania Law School and Cornell University. Mr. Cipperman is the author of the "Our Take" Regulatory Alerts, which provide daily updates on important industry developments via e-mail.  He is also the author of the book The Compliance Advantage: Ten Must-Know Trends to Protect Your Investment Firm, which will soon be available in hard copy and in digital format on Amazon. You can find more information at