Todd Cipperman
Managing PrincipalTodd Cipperman is managing principal of Cipperman Compliance Services, a firm that offers a third-party perspective on regulatory compliance.
Todd Cipperman is managing principal of Cipperman Compliance Services, a firm that offers a third-party perspective on regulatory compliance.
As the SEC furloughs workers, the consequences are rippling across the entire wealth management industry.
From the SEC to the Supreme Court, here's what could be playing out this year.
What should advisors expect from the upcoming regulation?
While some are mainstays, there are a few new ones to add to the list this year.
The regulator asked sponsors to hold off on registering funds investing in the currencies. Here’s why.
New digital currencies are subject to little or no regulation, the investor protection watchdog cautions.
A recent report provides insights into the regulator's concerns, that include cybersecurity, anti-money laundering and alternative investments.
With the rule's implementation date around the corner, here’s what wealth managers should focus on in coming weeks and months.
The OCIE is suggesting best practices for firms to protect themselves.
Regulatory direction on mobile communication shows why advisers need to be careful about hyperlinking information.