These are some of the compliance-related stories that recently caught my attention: SEC Buys Itself a Headache by David Smyth in Cady Bar the Door If you’re reading this, you’re surely aware of the several-years-old-now fight between the SEC and some federal judges regarding the SEC’s policy of settling cases while allowing defendants to neither … Read more »
Category: Compliance Bricks and Mortar
Compliance Bricks and Mortar for June 14
These are some of the compliance-related stories that recently caught my attention. Investor Alert—Don’t Trade on Pump-And-Dump Stock Emails FINRA and the SEC’s Office of Investor Education and Advocacy are issuing this Investor Alert to warn investors to be on the lookout for email spam promoting “pump-and-dump” stock scams. SEC Compliance Program Annual Reviews: A … Read more »
Compliance Bricks and Mortar for June 7
These are some of the compliance-related stories that recently caught my attention. Madoff: Don’t let Wall Street scam you, like I did By Sital S. Patel in MarketWatch After all those years of racing to remain a step ahead of the authorities, Madoff has a few ideas about how the market can be made more … Read more »
Compliance Bricks and Mortar for May 17
These are some of the compliance-related stories that recently caught my attention. White: SEC’s No. 1 priority is more adviser examinations By Mark Schoeff Jr. in Investment News The Securities and Exchange Commission’s top priority is to increase the number of investment adviser examinations it handles every year. How to go about doing that is … Read more »
Compliance Bricks and Mortar for May 10
These are some of the compliance-related stories that recently caught my attention. AIFMD Update – US Private Fund Advisers Marketing in the UK in Compliance Avenue Recent news from the UK suggests that these AIFMs have most likely been granted a reprieve until July 22, 2014 to comply with AIFMD in the UK. Earlier this … Read more »
Compliance Bricks and Mortar – One Heart Boston Edition
One Heart Boston: All proceeds beyond the direct material costs, postage and applicable taxes from the sale of One Heart Boston merchandise will benefit The One Fund Boston, created to raise money to help those families most affected by the tragic events that unfolded during this year’s Boston Marathon. These are some of the compliance-related … Read more »
Compliance Bricks and Mortar for April 12
These are some of the compliance-related stories that recently caught my attention. Ex-SEC Enforcement Chief Defends ‘Neither Admit or Deny’ Settlements by Emily Chasan is WSJ.com’s CFO Journal “By admitting wrongdoing in the government investigations, which companies might well be prepared to do, they face a great deal of liability on the civil side and, … Read more »
Compliance Bricks and Mortar for March 29
These are some compliance-related stories that recently caught my attention. Kathleen Edmond of Best Buy Receives ERC’s Carol R. Marshall Award for Innovation in Corporate Ethics Established last year as a posthumous honor to former ERC Board member Carol R. Marshall, the award recognizes a chief ethics and compliance officer for innovation and leadership in … Read more »
Compliance Bricks and Mortar for March 22
These are some of the compliance-related stories that recently caught my attention. NoDoz: Early Birds Needed to Work at SEC by Bruce Carton in Compliance Week What impact will White will have on the SEC? For one thing, it appears that those at the agency who work closely with the chairman will need to set … Read more »
Compliance Bricks and Mortar for March 15
The card above comes courtesy of the House Financial Services Committee lamenting the failure to prosecute individuals and companies in the financial industry. Last week Chairman Hensarling and Oversight & Investigations Subcommittee Chairman McHenry sent a letter to Attorney General Holder and Treasury Secretary Lew seeking any and all documents related to the consideration of economic factors in the … Read more »