Category: Compliance Bricks and Mortar

These are some of the compliance related stories that recently caught my attention. U.S. Offers Rare Account of Why It Didn’t Pursue Bribery Charges by Samuel Rubenfeld in WSJ.com’s Risk & Compliance Journal As the Securities and Exchange Commission announced it reached non-prosecution agreements in two unrelated foreign-bribery cases, the U.S. Justice Department took the … Read more »

These are some of the compliance related stories that recently caught my attention. How the Feds Pulled Off the Biggest Insider-Trading Investigation in U.S. History by Patricia Hurtado & Michael Keller in Bloomberg For more than seven years, the U.S. government has relentlessly prosecuted Wall Street traders who used inside information to rake in hundreds … Read more »

These are some of the compliance-related stories that recently caught my attention. Up Close and Personal: Individual CCO Liability – Part I by Tom Fox in FCPA Compliance & Ethics For when should a CCO have liability and should the regulators, whether in the financial services industry or in the broader anti-corruption world of the … Read more »

These are some of the compliance-related stories that recently caught my attention. Compliance Goes to School by Geoffrey Parsons Miller In my view there is no one “right” answer to the question of where compliance fits in a law school’s curriculum, just as there is no “one-size-fits-all” compliance program. A good model, however, is that … Read more »

These are some of the compliance-related stories that recently caught my attention. Stop Faxing by David Smyth in Cady Bar the Door The problem was the same as with all faxes: nobody wants them. They want emails instead. So when the firm set up an electronic faxing service, they added an extra step in the … Read more »

I’m back from vacation and have a big stack of compliance-related stories to read. These are some of them. Why Haven’t Bankers Been Punished? Just Read These Insider SEC Emails by Jesse Eisinger in Pro Publica James Kidney, a longtime SEC lawyer, was assigned to take the completed investigation and bring the case to trial. … Read more »

These are some of the compliance-related stories that recently caught my attention. Am I a Good Compliance Officer? by Kristy Grant-Hart in SCCEs Compliance & Ethics Blog I thought for a long time about a single criterion which could determine whether a person was good or bad at the job. I finally decided that the … Read more »

These are some of the compliance related stories that recently caught my attention. Valeant may get bank waivers but risks default with SEC and NYSE by Francine McKenna in MarketWatch Valeant Pharmaceuticals International Inc. may get a waiver from its bank lenders to file its Form 10-K annual report and first-quarter report later than required. … Read more »

These are some of the compliance-related stories that recently caught my attention. Five Questions for Our SEC Commissioner Nominees by Matt Kelly in Radical Compliance How would you strike the balance between investor access to information and companies’ ability to raise capital easily? We have already seen reduced disclosure obligations for newly public companies thanks … Read more »