Cipperman Compliance

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STEP UP TO TAKE CANCER DOWN: BIG CLIMB PHILLY FOR LLS MAY 6 lnkd.in/e-4YNew4 On May 6, I am leading a team in the Big Climb Philly, where we climb the steps of Lincoln Financial Field to raise money to fund the therapies…lnkd.in/e7CqRBW6 lnkd.in/eaE6tW5J

STEP UP TO TAKE CANCER DOWN: BIG CLIMB PHILLY FOR LLS MAY 6 lnkd.in/e-4YNew4 On May 6, I am leading a team in the Big Climb Philly, where we climb the steps of Lincoln Financial Field to raise money to fund the therapies and treatments to treat l…lnkd.in/eX2M9JDj

CHALLENGE: Fear of ChatGPT and AI MY TAKE: Rather than ban ChatGPT, we should start using it more. lnkd.in/eMuAz2wR lnkd.in/e937qJpG

CHALLENGE: Lawyers reporting suspicious transactions. Congress should not require lawyers to file Suspicious Activity Reports. lnkd.in/e4hUUrvS lnkd.in/e9wz7wJE

CHALLENGE: Crypto regulation. The crypto industry needs an Investment Company Act. lnkd.in/eWYdaK7d lnkd.in/eYFfwx7H

CHALLENGE: Crypto regulation. The crypto industry needs an Investment Company Act. lnkd.in/eWYdaK7d

CHALLENGE: Who’s afraid of the big bad banks? Should financial advisers fear the investment banks pivoting to wealth management? lnkd.in/e9522nZ6

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CHALLENGE: Docking employees for regulatory violations Should firms hold their employees accountable for compliance violations by withholding compensation to satisfy regulatory fines? lnkd.in/gY9sYTHM

CHALLENGE: Docking employees for regulatory violations Should firms hold their employees accountable for compliance violations by withholding compensation to satisfy regulatory fines? lnkd.in/gPszXgSx

To Compete, or Non-Compete? Should financial and investment firms continue to use covenants not to compete? #hiring #employee #tradesecrets lnkd.in/eDbf3Fcs

After 2022's poor investment returns, should an investment firm consider changing its investment model? lnkd.in/epDfMtpS

I am pleased to announce the formation of Cipperman Analytics, a management consulting firm for growth-minded investment managers and fund managers. We will advise on strategic objectives, distribution strategies, financing options, board and corporate g…lnkd.in/eQndEcVw

I’m happy to share that I’m starting a new position as Managing Principal at Cipperman Analytics! lnkd.in/ea5SyH5N

Thank you to our clients and partners for all their endless support! We are proud to share that we will be joining forces with @ForesideTweets. Click below to read the full press release: bit.ly/3ujWwOs #GRC #Compliance

Compli-pros should share this 26-page tome with their bosses to press their cases about why they need more resources.   Cipperman Compliance Services, LLC #investmentadvisers #outsourcing #complianceofficer lnkd.in/es5DKxBG

Utilizing online tools and committing to no less than 6 on-site visits are just two of the #bestpractices we follow to implement an effective #remote #compliance program. See our full list of tips below: bit.ly/3JyFTU1

In honor of #WomensHistoryMonth we would like to thank all of the women who are part of the CCS team for their hard work and dedication! bit.ly/36fIILG

A recent #SEC case forced a #venturecaptial manager to pay $5.4M for overcharging clients and had the #firm agree to create a #CCO position. Hear @Cipperman's take in our latest blog: bit.ly/3L7Nolh