2010 – Page 38 – Compliance Building

New Massachusetts Lobbying Law is now in Effect

Doug Cornelius January 6, 2010January 5, 2010 Bribery and Corruption [+]

In mid-2009, the Massachusetts Legislature was rocked by the highly public federal indictments of a state senator and speaker of the Massachusetts House. In response, the legislature passed a sweeping overhaul of its campaign finance, lobbying and government ethics laws. There are new rules in the Commonwealth that went effective on January 1. (Massachusetts is … Read more »

Custody of Funds or Securities of Clients by Investment Advisers

Doug Cornelius January 5, 2010December 20, 2013 Custody, Investment Advisers Act, SEC News 2

The SEC released the final version of its new custody rule (.pdf). The Commissioners had announced their approval of the rule on December 17 and then released the final text on December 30. The rule goes into effect 60 days after publication in the Federal Register. The amendments are designed to provide additional safeguards under … Read more »

Whales and Compliance

Doug Cornelius January 4, 2010February 4, 2010 Book reviews, Compliance Programs, Social Networking and Web 2.0 [+]

I was surprised to be thinking about compliance while I was reading about whales. Sure, I eat, drink and sleep compliance. But there are some lessons that compliance professionals can learn from the study of whales. This came up while I was reading Watching Giants: The Secret Lives of Whales by Elin Kelsey. My original … Read more »

Darth Vader and the New York Stock Exchange

Doug Cornelius January 2, 2010 Compliance Bricks and Mortar [+]

Is this going to improve the image of the stock market? Darth Vader ringing the opening bell at the NYSE?! Lucasfilm Ltd. Brings the Force to the New York Stock Exchange This Holiday Season – press release After more than 30 years, Star Wars maintains its position as the #1 selling licensed toy property in … Read more »