Category: Compliance Bricks and Mortar

  These are some of the compliance-related stories that recently caught my attention. An entrepreneur who, come September 23, will not be tweeting for investors by William Carleton And not for concern that SEC proposed rules would impose pre-filing, information filing and other requirements. No, he was looking only at that “price” 506(c), the actual … Read more »

These are some of the compliance-related stories that recently caught my attention Embattled J.P. Morgan Bulks Up Oversight by Monica Langley and Dan Fitzpatrick in the Wall Street Journal J.P. Morgan Chase & Co., facing a host of regulatory and legal woes, plans to spend an additional $4 billion and commit 5,000 extra employees this … Read more »

These are some of the compliance-related stories that recently caught my attention. Bad news. You’re promoted to compliance officer by Michael Scher in The FCPA Blog It’s not right to lump together all compliance officers. We have to recognize that those working in America are nearly on another planet from COs working in Asia, Africa, … Read more »

These are some of the compliance related stories that recently caught my attention. SEC Charges Two J.P. Morgan Traders With Fraudulently Overvaluing Investments to Conceal Losses The SEC alleges that Javier Martin-Artajo and Julien Grout were required to mark the portfolio’s investments at fair value in accordance with U.S. generally accepted accounting principles and JPMorgan’s … Read more »

These are some of the compliance-related stories that recently caught my attention JOBS Act Update: Can the Genie go back in the Bottle? by Jay B. Gould in Investment Fund Law Blog But what happens if a fund manager is initially enamored of the new rules and decides to advertise generally, but later changes his … Read more »

These are some of the compliance-related stories that recently caught my attention. At SAC, Rules Compliance With an ‘Edge’ by James B. Stewart in the New York Times Whatever else might be said about SAC’s compliance program, the bottom line is that it failed. Whether that failure can be attributed to Mr. Cohen or his … Read more »

These are some of the compliance-related stories that recently caught my attention. Crowd-funding, private-placement ads get special focus in the Bay State by Mark Schoeff Jr. in Investment News Massachusetts’ top securities regulator today launched a special unit to monitor crowdfunding websites and to keep track of private-placement advertising, two new fundraising methods authorized by … Read more »

These are some of the compliance-related stories that recently caught my attention. Why is the ACA making a big deal about the SEC proposed ruling? by Dan Rosen Simply put, the proposed SEC ruling is (a) trying to fix a problem that doesn’t exist; (b) will increase risk in our early-stage deals by adding a … Read more »

The SEC released the final rule lifting the ban on general solicitation and advertising for private placements. Here is a collection of stories on that topic. SEC Adopts JOBS Act Title II Rules by Dave Lynn in Corporate Counsel.net July 4th fireworks came a week late to 100 F Street yesterday, as the SEC adopted … Read more »

These are some of the compliance-related stories that recently caught my attention. Performance Fantasies Lead to SEC Enforcement Action by Jay B. Gould in Pillsbury’s Investment Fund Law Blog For fund managers and investment advisers, there are a number of takeaways from the D’Amato case. First, when back tested or hypothetical “performance” is used in … Read more »