Shows
Advisor Edge: The GVA WayEpisode 17: Scale, Stability, and SupportIn this episode, James J. Spinelli, ChFC®, welcomes Todd Cipperman, General Counsel at Great Valley Advisor Group, for a powerful conversation around Scale, Stability, and Support in the financial advisory space.With decades of industry experience, Todd shares practical insights into what it takes to build a sustainable, future-ready practice—and the strategic leadership that drives long-term success.🔑 Key Takeaways:The essential components of building a resilient, growth-oriented firmWhy scale matters more than ever—and how to achieve itThe critical role of leadership in creating lasting business stabilityWhether you're growing your practice or refin...2025-07-2419 min
Real World Leaders"Build Trust, Don't Drop the Ball" - Chuck Cohen & Todd CippermanStudents from Sankofa Academy asked; "When you were a first baseman in your youth, how does that relate to your position today?" Chuck Cohen answered, "Don't Drop the Ball!" - Many lesson learned at young ages will develop skills that you will take throughout you whole life.2024-06-2144 min
The Private Equity Podcast, by Raw SelectionTodd Cipperman on How Private Equity Firms Can Stay on Top of Compliance ChallengesTodd Cipperman is the founding principal of Cipperman Compliance Services. They help advisers, broker-dealers, and funds protect their franchises against regulatory risk through the development, implementation, and operation of customized compliance programs. What You’ll Learn:How PE firms can stay on top of compliance challengesLooming compliance regulations around the worldThe compliance burden plaguing private equityProtection against the questionable actions from portfolio companies Breakdown[00:50] Getting to Know Todd Cipperman[02:44] Common Mistakes by PE F...2022-04-0533 min
“The Wolf Den” hosted by Dan DavidEpisode 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. Wh...2021-10-011h 01
Sunnie DaysSunnie Days 10 - A Semester SunsetFor our final episode of the semester, we reminisce on our Sun experiences and lessons learned. Thank you for coming along with us, and have a summer full of fun and sunshine. Catch you in the fall! ☀️ 2021-05-1234 minSunnie DaysSunnie Days 9 - Featuring Srishti!This week, we have a very special guest - science editor Srishti Tyagi! Join us for a discussion on joke issues, very cool science-y content, and our personal histories with the Sun.2021-05-0537 minSunnie DaysSunnie Days 8 - Office Diving and Other Fun FactsThis week, we chat about office finds and share things we've learned about the Sun! Come enjoy your sunny day with us over the long weekend ☀️ 2021-04-2123 minSunnie DaysSunnie Days 7 - Featuring Odeya!This week, we feature the Sun's wonderful opinion editor: Odeya Rosenband! Join us to discuss our usual business along with her Instagram storytelling project, Kids of Cornell.2021-04-0730 minSunnie DaysSunnie Days 6 - A Little TLCThis week, we talk Sunnie self care tips to get through the mid-semester slog! Join us for ways to stay healthy and connected. (Also, we discuss party parrots at some length in this one.)2021-03-3125 minSunnie DaysSunnie Days 5 - A New Dawn!Following elections for the 139th editorial board, we discuss our new roles at the Sun and the future of Sunnie Days! Join us for some decompressing, deconstructing, and development planning this week ☀️ 2021-03-2437 minSunnie DaysSunnie Days 4 - Hittin' the Home StretchAs we approach our last leg of compet, we reflect on lessons learned and achievements accomplished! Prepping for week five and editorial elections (eep!), there's plenty to prepare for as the end comes into sight.2021-03-1135 minSunnie DaysSunnie Days 3 - Over the HumpAs the midpoint of compet passes by, we take a look at how far we've come - and where we still have yet to go! Let's chat about recruitment, compet projects, and more.2021-03-1127 minSunnie DaysSunnie Days 2 - InDesign InterludesAs week two of compet comes to a close, we reflect on the battle with technology that we compets face: learning how to make our print paper pages on InDesign! 2021-03-1034 minSunnie DaysSunnie Days 1 - Let the Compet Commence!The first week of Sun editorial compet begins, filled with adventures and challenges! We talk about the starting line and meet our fellow Sunnies.2021-03-1036 min
Human Capital with Melanie WaddellCompliance Guru Todd Cipperman Breaks Down the SEC’s New Ad RuleIn this episode of ThinkAdvisor’s Human Capital podcast, we talk with Todd Cipperman, founding principal of Cipperman Compliance Services, a go-to expert on all things compliance-related for advisors, broker-dealers and mutual funds. Cipperman details how a new rule proposal by the SEC to modernize its sorely outdated advertising rule will dramatically alter advisor marketing practices, as well as the SEC’s “aggressive” enforcement direction and the agency’s recent “out of the blue” sweep of registered funds. 2019-11-1421 min
The Best Ever You ShowTodd Cipperman - The Compliance Advantage: Ten Must-Know TrendsTodd Cipperman is the founding principal of Cipperman Compliance Services (CCS). Since 2004, CCS and its affiliates have helped advisers, broker-dealers, and funds protect their franchises through the development, implementation, and operation of customized compliance programs that include ongoing review, testing, management, training, and regulatory response. CCS leverages the experience of a multi-disciplinary team and takes full accountability for its advice and services. Mr. Cipperman 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 s...2019-02-151h 16
Thompson Hine PodcastsMarket Matters: Compliance Trends 5.30.2018This episode features Cassandra W. Borchers, a partner in the Investment Management practice group. She is joined by Todd Cipperman, founding principal of Cipperman Compliance Services. They will explore the 10 most significant trends that define the current investment management regulatory landscape.
Their topics will include:
Their topics include:
Investment advisers’ fiduciary responsibilities and the status of the DOL’s Fiduciary Rule and the SEC’s proposed Regulation Best Interest; Enforcement against senior executives and other individuals; Pay-to-play; The whistleblower program; Cybersecurity and privacy concerns; Industry changes and compliance trends2018-05-3031 min