In the latest edition of the Compliance Week podcast, we discuss regulatory and compliance issues facing the financial services world with Todd Cipperman, founding principal of Cipperman Compliance Services, a consulting firm that provides outsourced compliance services for advisers, broker-dealers, and funds. Among the topics we discuss are individual liability, third party compliance reviews, and the continuing buzz around “culture.”
Listen to the Podcast. (13 min., 12 MB)
