Happy New Year! May 2016 be better for you than 2015.
These are some of the compliance related stories that caught my eye before the end of 2015.
Compliance Fiction by Roy Snell in SCCE’s Compliance & Ethics Blog
Let me tell you a completely fabricated compliance story. [More…]
The Father of Texas and Leadership in Compliance by Thomas Fox in the FCPA Compliance Report
Today we celebrate leadership, which comes from a different place than we usually see. On December 27, 1836, the Father of Texas, Stephen F. Austin, died. Most people think Sam Houston was the father of this great state but it was the person for whom our state capital is named. Austin was the man who led the colonization of Texas in the early 1830s and was one of Texas’ earliest political leaders. He was appointed by Sam Houston as the first Secretary of State for the Republic of Texas but only served two months before his death at the age of only 43. On his deathbed, Austin’s last words were “The independence of Texas is recognized! Don’t you see it in the papers?…” Upon hearing of Austin’s death, Houston ordered an official statement proclaiming: “The Father of Texas is no more; the first pioneer of the wilderness has departed.” [More…]
Why does the SEC care about elder clients by Joshua Horn in Securities Compliance Sentinel
The SEC is conducting an exam sweep that focuses on retirement advice being given to clients of investment advisors and broker-dealers. Some commentators see this as a turf war between the SEC and the Department of Labor (DOL) because the sweep focuses on things that may come under the DOL’s jurisdiction. Whether the exam sweep intrudes upon the DOL’s purview is really not the point. [More…]
Happy New Year 2016 (Plenty of opportunities)
by Miquel Angel Pintanel Bassets
CC BY SA