Episode 29 - Todd Cipperman - The not so thin grey line, doing the crime and maybe doing time.

On this week’s episode, The Pack is joined by Todd Cipperman
(@Cipperman on Twitter). Todd is the founding principal of
Cipperman Compliance Services (CCS) and author of the book, The
Compliance Advantage: Ten Must-Know Trends to Protect Your
Investment Firm.


We dig into the exciting world of compliance and discuss how many
executives try to find that grey area between what is legal and
what will put them in the crosshairs of the SEC. We talk about
Theranos and Elizabeth Holmes, and about insider trading cases
involving Mark Cuban, Martha Stewart, Kelly Loeffler, and Diane
Feinstein. Who should go to jail and what is legal?


Todd has over 25 years of experience in the investment management
and financial services industries. He has represented a wide
range of investment management clients, always 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 has
also served as general counsel of one of the largest
international equity managers. Prior to that, Todd spent several
years in private practice on Wall Street, representing both buy-
and sell-side clients in investment management and capital
markets transactions.


 


Sit back, have a drink, and enjoy.


 


 


Links


 


https://twitter.com/CippermanCS


 


https://www.cipperman.com/todd-cipperman/


 


The Compliance Advantage: Ten Must-Know Trends to Protect Your
Investment Firm


Available on Amazon