Doug Cornelius on compliance for private equity real estate
These are some of the compliance-related stories that recently caught my attention. Protecting the Compliance Officer: A Balanced Approach by Michael W. Peregrine in Corporate Counsel From a governance perspective, it matters not that these chief compliance officer (CCO) enforcement actions appear to be narrowly focused in particular industry sectors. Rather, what matters is … Read more »
These are some of the compliance related stories that recently caught my attention. Private Equity’s Unintended Dark Side by Alexander Ljungqvist, Lars Persson and Joacim Tåg in the CLS Blue Sky Law Blog But what about more long term consequences of buyouts? In a recent paper, we explore whether private equity could, inadvertently, impose a … Read more »
These are some of the compliance-related stories that recently caught my attention. CFTC Can’t Give Whistleblower Money Away by Jean Eaglesham in the Wall Street Journal Since its Whistleblower Program was launched in 2011, the Commodity Futures Trading Commission has spent more on administrative costs than it has paid out in bounties, according to a … Read more »
These are some of the compliance-related stories that recently caught my attention. The Most Thankless Job on Wall Street Gets a New Worry: Recent enforcement actions find compliance officers personally liable by Emily Glazer in the Wall Street Journal Those officers on Wall Street in charge of ensuring that traders and other employees stay on … Read more »
These are some of the compliance-related stories that recently caught my attention. U.S. Banks Cut Off Mexican Clients, as Regulatory Pressure Increases by Rachel Louise Ensign, Emily Glazer and Amy Guthrie in the Wall Street Journal At issue are correspondent-banking relationships that allow Mexican banks to facilitate cross-border transactions and meet their clients’ needs … Read more »
These are some of the compliance related stories that recently caught my attention. Corporate Disclosure, Social Policy, and Dirty Pool by Matt Kelly in Radical Compliance [L]et’s use the Conflict Minerals Rule as the flagship example of a much broader bad idea in Dodd-Frank—using federal securities law to force social policy on corporations. Because as … Read more »
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 … Read more »
These are some of the compliance-related stories that recently caught my attention. Star Wars Week Part I – How do You Evaluate a Risk Assessment? by Tom Fox in the FCPA Compliance Report Today I begin a series of Star Wars themed blog posts to celebrate the upcoming release of the next entry in the … Read more »
These are some of the compliance-related stories that recently caught my attention. A Compliance Plan or a Compliance Idea? by John Nocero in SCCE’s The Compliance & Ethics Blog Much of what we do is dictated by our compliance plan. But we also need to be able to react based on arising risks or incidental … Read more »
These are some of the compliance-related stories that recently caught my attention. Your next PR battle is brewing in Private Funds Management Last week, the California Public Employees’ Retirement System (CalPERS) released carried interest data that several media outlets were quick to spin as private equity somehow being more expensive than investors had realized, … Read more »