When this story publishes on Friday morning, I’ll be on my bike riding from Boston to Sturbridge for Day Zero of the Pan Mass Challenge. (I’m adding an extra day of cycling before the First and Second Day of the PMC.) Thanks to so many of you who read Compliance Building for your generous donations … Read more »
Category: Compliance Bricks and Mortar
Compliance Bricks and Mortar – John McCain Edition
Here are some of the compliance-related stories that recently caught my attention. Standardizing IRR Calculations and Related Disclosures – The SEC Continues to Focus on Private Equity Practice by Vivek Pingili, Esq. In recent years the SEC has closely examined private equity fund performance and reporting during routine exams. The importance of this topic came … Read more »
Compliance Bricks and Mortar for July 21
These are some of the compliance-related stories that recently caught my attention. Developments in the Asset Management Industry by Itzhak Ben-David in the HLS Forum on Corporate Governance and Financial Regulation The rising concentration in the asset management industry and the rise of ETFs not only change the way investors invest, but also affect the … Read more »
Compliance Bricks and Mortar for July 14
When this post gets published, I will have hopefully finished a 130 mile training ride across Massachusetts in preparation for the Pan Mass Challenge. I’m leaving my house in the middle of the night to be in Becket, MA by noon for parents’ weekend at my son’s summer camp. There is still time to support … Read more »
Compliance Bricks and Mortar for June 16
I want to clarify my Pay-to-Play and Yard Signs post from earlier this week. I think an early draft of the post was sent through the email system that was incorrect. A senior SEC official clearly stated that yard signs are not limited by the Pay-to-Play Rule and that the speaker who made the statement was … Read more »
Compliance Bricks and Mortar: Post-Comey Edition
Politics aside, one of the key items I saw in the Comey testimony yesterday was the effect of perception on interactions between a boss and his employees. Mr. Comey said he did “take as a direction” the president’s words to mean he should drop the investigation. That may or may not have been the intention … Read more »
Compliance Bricks and Mortar Post-Paris Edition
President Trump announced that the United States will withdraw from the Paris Climate Agreement. The U.S. is the world’s second-largest emitter of carbon, with China in the top spot. China affirmed its commitment to meeting its targets under the Paris Climate Agreement and recently canceled construction of 100 coal-fired power plants, with plans to invest billions in … Read more »
Compliance Bricks and Mortar – Memorial Day Edition
As we pause this weekend to remember those who have fallen while serving the armed forces, these are some of the compliance-related stories that caught my attention recently. No Movie Could Capture the Crazy Details of Bernie Madoff’s Story by GORDON MEHLER AND LARRY H. KRANTZ in The Atlantic Bernie Madoff is back, nearly a … Read more »
Compliance Bricks and Mortar for May 19
These are some of the compliance-related stories that recently caught my attention. Cybersecurity: Ransomware Alert from SEC’s OCIE Starting on May 12, 2017, a widespread ransomware attack, known as WannaCry, WCry, or Wanna Decryptor, rapidly affected numerous organizations across over one hundred countries. Initial reports indicate that the hacker or hacking group behind the attack … Read more »
Compliance Bricks and Mortar for May 5
These are some of the compliance-related stories that recently caught my attention. House Panel Approves Plan to Undo Parts of Dodd-Frank Financial Law by Rachel Witkowski The House Financial Services Committee launched a Republican-supported rollback of Obama-era financial regulations, voting 34-26 along party lines Thursday for a plan to undo significant parts of the 2010 … Read more »