Category: Compliance Bricks and Mortar

  These are some of the compliance related stories that recently caught my attention. Ebola tragedy is also a story of graft by Richard L. Cassin in the FCPA Blog One reason the fatality rate is so high — up to 90% in some regions, according to WHO — is because intensive care facilities are needed … Read more »

GPs look for ‘sweet spot’ on co-investment disclosures by Nicholas Donato in Private Funds Management Part of the SEC’s thinking is that co-investments are being used as marketing tools – so some investor protection is needed to ensure that promises made during fundraising are being fulfilled. Inspectors apparently want to see that every prospective LP … Read more »

These are some of the compliance-related stories that recently caught my attention. Lawyers as SEC Enforcement Targets, What a Fund Manager Needs to Know by Jay B. Gould in the Investment Fund Law Blog In a move that should place securities lawyers and their clients on notice, Commissioner Kara Stein of the Securities and Exchange … Read more »

These are some of the other stories that recently caught my attention. Tips for finding the dirt during due diligence on funds, managers by Liz Skinner in Investment News Advisers who can describe an exhaustive process of researching the people and firms they recommend their clients invest with stand to gain the trust and confidence … Read more »

These are some of the compliance-related stories that recently caught my attention. What an Employment Lawyer Can Learn From Minecraft (or Not) by Daniel Schwartz in the Connecticut Employment Law Blog Minecraft is teaching a whole generation of “kids” (and not so “kids”) about the value of teamwork in a corporate culture. Moreover, there is … Read more »

Book de Tour by Greig Leach These are some of the compliance-related stories that recently caught my attention. Big Settlements Elevate Compliance Officers in WSJ.com’s Risk & Compliance Journal Recent white-collar settlements are case studies in how compliance officers are ignored, circumvented and sidelined. But that’s likely having the effect of giving these staffers more … Read more »

These are some of the compliance-related stories that recently caught my attention. Firms Withdraw as MAs Ahead of Final Rule by Kyle Glazer in The Bond Buyer Nathan Howard, an attorney who works with municipal advisors, said the many withdrawals are the result of guidance that has made it more clear who is likely to … Read more »

These are some of the compliance-related stories that recently caught my attention. A Committee of Fund Manager Personnel May Not Be Able to Provide the Requisite Consent on Behalf of the Fund for a Principal Transaction by Steve Ganis in Securities Litigation & Compliance Matters So what constitutes sufficient consent for a principal transaction or … Read more »

These are some of the compliance related stories that recently caught my attention. Thinking About the Applicability of SOX Whistleblower Protection to Private Company Employees by Kevin LaCroix in the D&O Diary Since their 2002 enactment, the whistleblower protections in Section 806 of the Sarbanes-Oxley Act have been presumed to apply only to employees of … Read more »

These are some of the compliance-related stories that recently caught my attention. The key to hedge-fund riches: your retirement dollars by Timothy Spangler in The Guardian First, there is the misconception that “there are no restrictions on what they can invest in.” This is true. They can invest the same way Sir Richard Branson or … Read more »