Human Capital: Compliance Guru Todd Cipperman Breaks Down SEC’s New Ad Rule
In Episode #4 of our podcast, we talk with Cipperman, a go-to expert on all things compliance-related for advisors.
In 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, a 25-year financial services industry veteran and the former general counsel for SEI Investments, details how a new rule proposal by the SEC to modernize its sorely outdated advertising rule will dramatically alter advisor marketing practices, as well as the SEC’s “aggressive” enforcement direction and the agency’s recent “out of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.
— More Human Capital Podcasts:
- Norm Champ, Ex-SEC IM Director, Takes on Financial Literacy
- Ric Edelman on Social Security Crisis, SEC’s Crypto Fail
- CFP Board’s Keller Gets Blunt on New Ethics Standards, Reg BI