Category: Compliance Bricks and Mortar

These are some of the compliance-related stories that caught my attention this week. The Board Member’s Oversight of AI Risk – Moving from Middle to Modern English By Sean Dowd, Rich Kando, and Chris Crovatto, AlixPartners LLPHarvard Law School Forum on Corporate Governance Risk assessments take on many forms, but there are three critical components … Read more »

These are some compliance-related stories that recently caught my attention. SEC Grants $2.4 Million Whistleblower Award to Compliance Official by Geoff SchwellerWhistleblower Network News The SEC order further clarifies that while the whistleblower learned of the misconduct in a role where their principal duties involve compliance or internal audit responsibilities, they were eligible for an … Read more »

I haven’t published one of these in a while. Here are a bunch of compliance-related stories that recently caught my attention. In Silicon Valley, You Can Be Worth Billions and It’s Not Enoughby David Streitfeld in The New York Times Twenty one years later, Mr. Bechtolsheim may have seized a different kind of opportunity. He … Read more »

These are some compliance stories that recently caught my attention. Coinbase earnings were bad. Worse still, the crypto exchange is now warning that bankruptcy could wipe out user fundsBy Nicholas Gordon Coinbase said in its earnings report Tuesday that it holds $256 billion in both fiat currencies and cryptocurrencies on behalf of its customers. Yet the exchange … Read more »

These are some compliance-related stories that recently caught my attention. A Best Lawyers List Is Suing Another Best Lawyers ListBy Jacob Gershman [The New Jersey Supreme Court-appointed committee on attorney advertising] cautioned New Jersey attorneys against touting dubious distinctions. While lawyers in the state may promote their inclusion in lawyer directories like “Super Lawyers” or … Read more »

Postings have been few and far between. Work remains busy. Compliance requirements only increase. My non-work activities have kept me from writing. Of course I’ve been doing a lot of bicycle riding, mostly in preparation for the Pan Mass Challenge. I’m serving on my city’s Historical Commission. I joined the board of directors of MassBike, … Read more »

Back blogging on a regular basis for the week. Hoping to keep it up. These are some other compliance-related stories that recently caught my attention. The Scammer Threat to Your HotlineBy Ted BanksSCCE’s The Compliance & Ethics Blog Several of the companies that originally received the fake report have now received a message from one … Read more »

Return Time. Back to the office. Back to school for the kids. And back to blogging more regularly. These are some of the compliance-related stories that recently caught my attention. In Silicon Valley, Criminal Prosecutors See No Evilby David StretifeldThe New York Times Federal prosecutors in Northern California took on only 57 white-collar crime cases … Read more »

These are some of the compliance-related stories that recently caught my attention. The Bizarre Case of Snowden and a Get-Rich-Quick Real Estate Investing ConferenceJack PoulsonVice.com Edward Snowden joined an online “elite real estate investment club” Saturday afternoon, spoke for several minutes about whistleblowing, called out one of the hosts for allegedly running a Ponzi scheme, … Read more »

These are some of the compliance-related stories that recently caught my attention. Alex Oh Named SEC Director of Enforcement Washington D.C., April 22, 2021 — The Securities and Exchange Commission today announced that Alex Oh has been appointed Director of the Division of Enforcement. Oh was most recently a partner at Paul, Weiss, Rifkind, Wharton … Read more »