Category: Compliance Bricks and Mortar

These are some of the compliance-related stories that recently caught my attention. Mark Cuban vs. The SEC in WealthManagement.com The only way to reform what ails the Securities and Exchange Commission is to “burn it down and start again,” says Mark Cuban, billionaire entrepreneur, host of the television show “Shark Tank,” and the owner of … Read more »

These are some of the compliance-related stories that recently caught my attention. Sherlock Holmes and Innovation in the Compliance Function, Part I – A Study In Scarlet by Tom Fox in the FCPA Compliance and Ethics Blog First I am back with an homage to Sherlock Holmes, for it was in the magazine Beeton’s Christmas … Read more »

Commissioner: ‘Millionaires can fend for themselves’ by Mark Schoeff Jr. in Investment News “This obsession with ‘protecting’ millionaires — potentially at the cost of hindering the wildly successful and critically important private markets — strains logic and reason,” said SEC member Daniel Gallagher Jr. “Millionaires can fend for themselves.” S.E.C.’s Delay on Crowdfunding May Just … Read more »

These are some of the recent compliance-related stories that caught my attention. The SEC and the DMV by Thomas O. Gorman in SEC Actions “The SEC Should Copy the DMV” is the title of an article published in the New York Times by Joseph S. Fichera recently. The article focuses on the use of corporate … Read more »

These are some of the compliance-related stories that recently caught my attention. Fordham Law offers LL.M in Corporate Compliance, expands JD training by Sean J. Griffith in the FCPA Blog The new compliance programs are good news for law students. According to The Wall Street Journal, starting salaries for compliance officers have been rising 3.5% … Read more »

These are some of the compliance-related stories that recently caught my attention. Mathew Martoma’s Wife Fights to Keep Couple’s Florida Home, Millions in Cashby Bruce Carton in Compliance Week Martoma will begin serving his prison term next month, but his wife, Rosemary Martoma, is now challenging the $9.4 million forfeiture order. This week Rosemary Martoma asked the court to … Read more »

These are some of the compliance-related stories that recently caught my attention. Fixing a Company’s Ethics and Compliance Culture by Michael Volkov in Corruption, Crime & Compliance A company’s ability to enact meaningful change depends on the innate desire of its leadership to execute real change. It is too easy to say that such change … Read more »

These are some of the compliance-related stories that recently caught my attention. Let’s Get This Straight, A URL Is Not An Address (At Least In This Case) by Keith Paul Bishop in California Corporate and Securities Law The tenant argued that the notice was defective because it included a URL (uniform resource locator) address rather … Read more »

These are some of the compliance-related stories that recently caught my attention. Fantasy Football: A Real and Present Danger to the Workplace? by Daniel Schwartz in Connecticut Employment Law Blog So to answer my own question in the title: No, fantasy football is not a critical threat to your business. But sometimes, fantasy football can … Read more »