These are some of the compliance-related stories that recently caught my attention. How Financial Institutions May Benefit from Changes to the Rule Against Perpetuities by Reid K.Weisbord in the CLS Blue Sky Blog Now that most jurisdictions have repealed or abrogated the Rule Against Perpetuities, estate planning practitioners have started to consider whether a trust … Read more »
Category: Compliance Bricks and Mortar
Compliance Bricks and Mortar for December 6
These are some of the compliance related stories that recently caught my attention. When blowing the whistle is a conflict of interest in Conflicts of Interest Blog Employees generally owe duties of loyalty to their companies (at least under US law), but for some time whistleblowing has not seen as a breach of such duty. … Read more »
Compliance Bricks and Mortar for November 20
These are some of the compliance-related stories that recently caught my attention. JP Morgan’s Twitter Mistake by Emily Greenhouse in the New Yorker This is Twitter’s very purpose: to allow any individual to share the same space with, for instance, a hugely powerful bank. With this space comes attention and authority. Unlike at JPMorgan’s Park … Read more »
Compliance Bricks and Mortar for November 15
These are some of the compliance-related stories that recently caught my attention. We chat with Harvey Pitt about CCO independence, prestige in The FCPA Blog The FCPA Blog wanted to explore the idea of the dual-hatted compliance officer — the one who occupies both the general counsel and chief compliance officer roles in a company. We … Read more »
Compliance Bricks and Mortar for November 8
These are some of the compliance-related stories that recently caught my attention. Happy Birthday, Federal Sentencing Guidelines for Organizations by Jeff Kaplan in Conflicts of Interest Blog Twenty-two years ago today the Federal Sentencing Guidelines for Organizations went into effect. Although only a set of rules (i.e., not an actual statute), these Guidelines have had … Read more »
Compliance Bricks and Mortar for November 1
My kids and I are suffering from a candy hangover this morning after sweeping through the neighborhood trick-or-treating. I’ll try to regain my focus by reading some of these compliance-related stories that recently caught my attention. Bold and Unrelenting Enforcement from the SEC: A Six Month Review by Terence Healy in The CLS Blue Sky … Read more »
Compliance Bricks and Mortar for October 25
These are some of the compliance-related stories that recently caught my attention. White softens stance on minor securities violations by Mark Schoeff Jr. in Investment News Securities and Exchange Commission Chairman Mary Jo White told compliance officers Tuesday that the agency will work with them to address regulatory lapses before resorting to enforcement. “The balance … Read more »
Compliance Bricks and Mortar for October 18
These are some of the compliance-related stories that recently caught my attention. Wrapping Up My Five-Year Experiment by Kathleen Edmond Of course, this blog is near and dear to my heart and is among the loose-ends I want to tie up before I go. Over the past five years, I have covered dozens of issues … Read more »
Compliance Bricks and Mortar – The Shutdown Continues
“The definition of insanity is continuing to do the same thing over and over, and then expecting different results.” The US Congress continues to show it’s inability to operate as it has been unable to pass a bill that will fund the operations of the federal government. A big chunk of Congressmen want overturn the … Read more »
Compliance Bricks and Mortar – Solicitation and Advertising Edition
On Monday, the new SEC Rule 506(c) became effective, lifting the ban on general solicitation and advertising, creating a new era of public private-placements. These are some of the stories on the effect of the new the rule that caught my attention. Pros and Cons of General Solicitation by Joe Wallin in Startup Law Blog … Read more »