The Evolution of Compliance: Caremark, the Tech Bubble, and Market Timing

COVERING: Compliance

1 Module (approx. 1h)

Learn about the importance of having a compliance program, its development and how the Investment Advisers Act rule 206(4) revolutionizes the structure of an investment firm. Explore the five stages of compliance grief, and common compliance problems.  

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Your instructor

Todd Cipperman
Principal
Cipperman Compliance Services

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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.

In addition to his dedication to CCS and the investment management industry, Todd enjoys spending time with his wife and two daughters at the New Jersey shore. A Western New York native, Todd can be found every Sunday watching his beloved Buffalo Bills via satellite TV. He also enjoys playing the guitar, cooking, Flyers hockey, and trying new restaurants.

Todd Cipperman is also the author of the “Our Take” Regulatory Alerts, which provide daily updates on important industry developments via e-mail. An archive can be found here.