Doug Cornelius on compliance for private equity real estate
These are some of the compliance-related stories that recently caught my attention. District Court Rules Plaintiff Failed To Plead Real Estate Investment Was A “Security” by Keith Paul Bishop in California Corporate & Securities Law In ruling on the defendants’ motion, Judge Benitez correctly observed that the plaintiff’s securities law claims require that there be … Read more »
These are some of the compliance-related stories that recently caught my attention. You Need to Know This: YTD Securities Class Action Lawsuit Filings are Off the Charts by Kevin LaCroix in the D&O Diary Securities class action lawsuit filings have been going crazy. Securities suit filings during the first quarter 2017 set a pace that … Read more »
It’s been a busy week, getting information and drafting for the Form ADV filing. I have a big stack of stories to read and write, but these are some of the compliance-related stories that recently caught my attention. United’s Policy Management Lessons by Matt Kelly in Radical Compliance Compliance officers who want a glimpse of … Read more »
These are some of the compliance-related stories that recently caught my attention. Women in banking To err is human, to get fired for it … female by Tanaya Macheel in American Banker One of the latest studies of gender differences in financial services finds female advisers accused of wrongdoing are 20% more likely to lose … Read more »
Since I work in Boston and my office is next to the Black Rose, it’s hard to ignore St. Patrick’s Day. And yes, the Black Rose was already full of drinking patrons at 9:00 am. Getting past all the Irish cheer, these are some of the compliance related stories that recently caught my attention. Super … Read more »
These are some of the compliance-related stories that recently caught my attention. SEC Reduces Whistleblower Bounty Based On Culpability And Delayed Reporting by Harris Mufson, Steven J. Pearlman and Amy Blackwood in Proskauer Whistleblower Defense On February 28, 2017, in an Order almost entirely devoid of detail, the SEC announced that a whistleblower will receive … Read more »
These are some of the compliance-related stories that recently caught my attention. Detecting Managed Earnings With CEO Profiles by Tri Nguyen, Chau Duong and Sunitha Narendran in the CLS Blue Sky Blog We offer the PSCORE, a composite grouping of individual characteristics linked with a higher likelihood of earnings management by prior research. We identified … Read more »
These are some of the compliance-related stories that recently caught my attention. Court to Reconsider Authority of SEC Administrative Law Judges by Dave Michaels and Brent Kendall in the Wall Street Journal The U.S. Court of Appeals for the District of Columbia Circuit said it would reconsider an appeal that argues the SEC’s administrative courts … Read more »
These are some of the compliance-related stories that recently caught my attention. WHY SHOULD I GIVE A %$#@! ABOUT OVERSEAS BRIBERY? by Matt Kelly in the FCPA Blog This is on my mind thanks to a recent column in the legal blog Above the Law, “Is Trump the End of FCPA Enforcement?” The author, … Read more »
These are some of the compliance related stories that recently caught my attention. Trump Gets Subtle Pre-taliation Warning by Matt Kelly in Radical Compliance On Wednesday the Office of Special Counsel issued a reminder that any policies about communications from government employees—like, say, telling them to stop talking about climate change; or to stop talking entirely—must … Read more »