Todd CippermanTodd 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 previously served as General Counsel of SEI Investments, a public mutual fund and financial technology firm, including its $65 billion proprietary mutual fund family. Including his time at SEI, he has spent over 25 years working in the investment management and financial services industries. Todd has represented a wide range of investment management clients with a focus on distribution issues facing investment managers and broker-dealers. 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 the News

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Todd’s Book: The Compliance Advantage: Ten Must-Know Trends to Protect Your Investment Firm

Todd cuts through all the enforcement and political noise to describe the most significant compliance trends and offer insight on how to survive them.

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Amazon Review

5.0 out of 5 stars Terrific resource for asset management professionals

Reviewed in the United States on January 22, 2019

Concise and helpful summaries of SEC enforcement activity and other agency guidance, organized for at a glance access by specialty area and industry trend (private equity for example). I will put in an accessible place on the reference shelf in my office. I receive law firm alerts on case law developments by the dozen; this is superior because it collects all of the cases over six or seven years in a single volume.

– General Counsel and CCO of an Advisory firm

Videos & Podcasts

Listen to Todd’s take on trending topics, either through past podcasts or his recent videos on LinkedIn.