Doug Cornelius on compliance for private equity real estate
These are some of the compliance-related stories that recently caught my attention. The 5 Most Common AML Compliance Program Deficiencies by Michael Volkov in Corruption, Crime & Compliance In my view, AML programs do not get sufficient support and exposure from top-level management. A compliance failure usually can be traced back to the lack of … Read more »
These are some of the compliance-related stories that recently caught my attention. Beware the ‘SEC Impersonator’ Scams Targeting Your Money by Bruce Carton in Compliance Week You might not think that fraudsters impersonating the SEC would be a significant or ongoing problem but the volume of the SEC’s “Investor Alerts” on this topic would seem … Read more »
I finished the charity bike ride across Massachusetts. There’s still time to donate. Look at the bottom of this update. Since, I’m off the bike, these are some of the compliance-related stories that recently caught my attention. SEC Tries Flipping Witnesses by Jean Eaglesham in the Wall Street Journal The SEC touts the cooperation program … Read more »
At the time this story gets published on Friday, I will be on bike somewhere between Hillsdale, New York and Sturbridge, Massachusetts. That’s the first leg of my Pan-Mass Challenge ride to support cancer research. I’ll end up in Provincetown on Sunday afternoon. Many of the readers of Compliance Building have generously supported my ride. … Read more »
These are some of the compliance-related stories that recently caught my attention in between bike rides.(It’s not too late to support my Pan-Mass Challenge ride to support cancer research.) [button link=”http://www2.pmc.org/e.asp?tid=7200&q=https://www2.pmc.org/egifts/DC0176″]Donate $___ to the Pan-Mass Challenge[/button] SEC hires new private funds specialist by Katherine Bucaccio in Private Funds Manangement Jennifer Duggins will join the commission … Read more »
These are some of the compliance related stories that recently caught my attention. Deflategate (Part Two): My texts runneth over by Joshua C. Garbarino in The FCPA Blog The spontaneous nature of texts, often with photos, and sending them before anyone thinks about the consequences, means the texts can be a very revealing source of … Read more »
These are some of the compliance-related stories I set aside to read this holiday weekend. What Do Rating Agencies Think about “Too-Big-to-Fail” Since Dodd-Frank? by Gara Afonso and João Santos in Liberty Street Economics Is it possible that, while S&P still expects support for some BHCs, the perceived strength of support has decreased and is … Read more »
These are some of the compliance-related stories that recently caught my attention. Ethisphere Announces the 2015 Attorneys Who Matter Honorees represent all areas of practice including federal agencies, in-house counsel, top ethics and compliance officers of major companies, and outside counsel. Each one raises the bar for ethical behavior and boasts a commendable track record … Read more »
These are some of the compliance-related stories that recently caught my attention. Jamie Dimon Says He’s Unsure If Elizabeth Warren Understands Global Banking System by Kim Chipman for Bloomberg [W]hen asked about his biggest worries, Dimon expressed concern that the U.S. may eventually be hurt by ideological decisions being made in Washington. [More…] Legal Ethics … Read more »
These are some of the compliance-related stories that recent caught my attention. Sen. Elizabeth Warren Sharply Criticizes SEC Chairman in Letter in the Wall Street Journal Ms. Warren took aim at several issues in Tuesday’s letter, including a long-delayed executive compensation rule mandated by the 2010 Dodd-Frank law requiring companies disclose the pay gap … Read more »