Todd Cipperman

1.6K posts

Todd Cipperman

@Cipperman

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

Wayne, PA Inscrit le Temmuz 2010

232 Abonnements308 Abonnés

Todd Cipperman@Cipperman·16 Şub

Cipperman's Our Take Investment Management Substack -- CHALLENGE: Crypto regulation. cipperman.substack.com/p/challenge-cr…

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Todd Cipperman@Cipperman·10 Şub

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

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Todd Cipperman@Cipperman·31 Oca

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

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Todd Cipperman@Cipperman·23 Oca

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

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Todd Cipperman@Cipperman·17 Oca

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

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Todd Cipperman retweeté

Cipperman Compliance@CippermanCS·11 Ara

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Todd Cipperman retweeté

Cipperman Compliance@CippermanCS·10 Ara

BDC Censured for Mischaracterizing Distributions as Income Rather than Return of Capital cipperman.com/2018/12/10/bdc…

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Todd Cipperman retweeté

Cipperman Compliance@CippermanCS·7 Ara

SEC Re-Considering Adviser Marketing and Advertising Rules cipperman.com/2018/12/07/sec…

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Todd Cipperman retweeté

Cipperman Compliance@CippermanCS·5 Ara

Compliance Failures Cost BDC Manager $4 Million in Penalties and $2.6 Billion in Assets cipperman.com/2018/12/05/com…

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Todd Cipperman retweeté

Cipperman Compliance@CippermanCS·3 Ara

SEC Allows Broker-Dealer Fund Research Reports cipperman.com/2018/12/03/sec…

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Todd Cipperman retweeté

Cipperman Compliance@CippermanCS·28 Kas

Federal Court Rules that the SEC Must Prove that Digital Tokens are Securities cipperman.com/2018/11/28/fed…

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Todd Cipperman retweeté

Cipperman Compliance@CippermanCS·27 Kas

BD Fined $2.75 Million for Omitting Customer Complaints from Forms U4 and U5 cipperman.com/2018/11/27/bd-…

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Todd Cipperman retweeté

Cipperman Compliance@CippermanCS·26 Kas

SEC Fines Two Initial Coin Offerings cipperman.com/2018/11/26/sec…

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Todd Cipperman retweeté

Cipperman Compliance@CippermanCS·21 Kas

Top 5 Regulatory Alerts – October 2018 cipperman.com/2018/11/21/top…

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Todd Cipperman retweeté

Cipperman Compliance@CippermanCS·20 Kas

Advisory Clients Did Not Receive Promised Fee Breaks cipperman.com/2018/11/20/adv…

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Todd Cipperman retweeté

Cipperman Compliance@CippermanCS·16 Kas

CFTC Penalties Nearly Triple in Fiscal 2018 cipperman.com/2018/11/16/cft…

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Todd Cipperman retweeté

Cipperman Compliance@CippermanCS·15 Kas

Dark Pool Fined $12 Million for Sending Trade Data to HFTs cipperman.com/2018/11/15/dar…

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Todd Cipperman retweeté

Cipperman Compliance@CippermanCS·14 Kas

SEC Says that Digital Tokens are Securities; Requires Trading Platform to Register as Exchange cipperman.com/2018/11/14/sec…

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Todd Cipperman retweeté

Cipperman Compliance@CippermanCS·12 Kas

CCOs Liable for Failing to “Meaningfully” Implement Compliance Programs cipperman.com/2018/11/12/cco…

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Todd Cipperman retweeté

Cipperman Compliance@CippermanCS·9 Kas

SEC Is Examining Registered Funds and ETFs for Oversight, Policies, and Conflicts cipperman.com/2018/11/09/sec…

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