Code of Ethics and Personal Securities Transactions
COVERING: All fund types
1 Module (1h:05m)
This course focuses on mastering the skills and knowledge the institutional investor, fund managers, and service providers need to effectively conduct comprehensive due diligence on the investment risks associated with private funds.
This course is part of the Compliance Postgraduate Certificate Course
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Cipperman Compliance Services
Todd Cipperman is the founding principal of Cipperman Compliance Services (CCS). Through his CCS relationships, Todd and our teams help advisers, broker-dealers, and funds protect their franchises against regulatory risk through the development, implementation, and operation of customized compliance programs that include ongoing review, testing, management, training, and regulatory response.
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 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.
He is a graduate of the University of Pennsylvania Law School and Cornell University.