SEC Examinations and Enforcement. Todd Cipperman, Esq. Cipperman & Company ICI General Membership Meeting May 7, 2009. Overview. Core Initial Request List SEC Exams and Priorities Personal Liability Conflicts of Interest Liability of Fund Service Providers Marketing and Solicitation
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Todd Cipperman, Esq.
Cipperman & Company
ICI General Membership Meeting
May 7, 2009
Cipperman & Company is a unique law firm devoted exclusively to the investment management industry. Our lawyers have spent their careers in the investment management industry, including significant experience at major industry players. Our shared heritage and experience make our lawyers unique and creative industry partners who can give you practical, real-world advice for making informed business decisions and controlling your legal risk. We have worked on a wide range of transactional and regulatory matters, but we concentrate on four core areas – Compliance, Distribution, Fund Formation, and Technology:
Compliance: Policies/Procedures, Compliance Manuals for RIAs, BDs, and Funds, Annual Reviews, Regulatory Exams, Testing
Distribution: Broker-Dealer Regulatory Matters, Dealer, Solicitation, and Referral Agreements, Asset-Gathering Strategies and Structures, Wrap Programs, Marketing Materials
Fund Formation: Hedge Funds, Fund-of-Funds, Institutional Products, ETFs, Variable Insurance Products, Cash Sweep Vehicles
Technology: Licensors and Licensees, Installed and ASP, Portfolio Management Systems, Trading Utilities and Platforms, Compliance Tools
150 S. Warner Road, Suite 140, King of Prussia, PA 19406, 610.687.5320, firstname.lastname@example.org, www.cipperman.com