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.