These are some of the compliance related stories that recently caught my attention. What’s the Solution for Boring and Ineffective Compliance Training? by Joe Murphy in Corporate Compliance Insights My experience, having worked in depth with both live and online training, is that both have the potential to be done poorly and to fail in … Read more »
Category: Compliance Bricks and Mortar
Compliance Bricks and Mortar: FCPA Guidance Edition
The big news in compliance this week was the release of the Resource Guide to the U.S. Foreign Corrupt Practices Act (.pdf). But I have only had a chance to glance at it briefly. I’m underwhelmed, even after having low expectations. Since I have not read much, I’m posting the views of many others: Guidance … Read more »
Compliance Bricks and Mortar for November 9
These are some of the compliance related stories that recently caught my attention. Fighting corruption with bumper stickers and public toilets: ambient accountability by Dieter Zinnbauer in Space for Transparency Take for inspiration this passenger bill of rights, displayed literally right in your face at the backrest of the driver’s seat in New York taxis. … Read more »
Compliance Bricks and Mortar for November 2
These are some of the compliance related stories that recently caught my attention. 21-Month Sentence Just One of the Consequences of Former Deloitte Partner’s Insider Trading by Bruce Carton in Compliance Week A big part of the SEC and DOJ’s enforcement of the insider trading laws is to bring cases that will deter others from … Read more »
Compliance Bricks and Mortar for October 26
These are some compliance related stories that recently caught my attention. Enforcement Actions Against Advisors Nearly Doubled: NASAA by Melanie Waddell in AdvisorOne Enforcement actions taken against investment advisory firms by state securities regulators nearly doubled to 399 in 2011—accounting for 15% of all enforcement actions handled by state securities regulators, according to the North … Read more »
Compliance Bits and Pieces for October 19
These are some of the compliance-related stories that recently caught my attention: Frankenstein, Lance Armstrong and FCPA/Bribery Act Compliance by Tom Fox So how does Frankenstein relate to compliance and ethics? Exhibit A for today is my fellow Texan Lance Armstrong. Yesterday, in the FCPA Blog I wrote about Armstrong and ethical values in the context … Read more »
Compliance Bits and Pieces for September 28
These are some of the compliance-related stories that recently caught my attention: Mass. Securities Chief Urges SEC to Establish Accredited Investor Methods under JOBS Act Reg. D Measure in Jim Hamilton’s World of Securities Regulations In a letter to the SEC, the Massachusetts Securities Commissioner and Secretary of the Commonwealth William Galvin said that in the proposed … Read more »
Compliance Bits and Pieces for August 24
These are some compliance related stories that recently caught my attention. The FCPA Compliance Strategic Plan – Some Lessons for the Astros by Tom Fox I pondered over Stephen’s thought on the subject of a strategic plan recently when I heard the Houston Astros General Manager say that he was not sure what plan he … Read more »
Compliance Bits and Pieces – Standard Chartered Edition
The British bank Standard Chartered found itself in trouble for dealing with Iranian customers in violations of US sanctions. Here are some stories that covered the news. Best. Quote. Ever. From Howard Sklar’s Open Air Blog Preparing for This Week in FCPA today, I came across this quote in the New York State Department of … Read more »
Compliance Bits and Pieces for August 10
These are some of the compliance-related stories that caught my attention. Anti-Money Laundering For the Non-Banking Entity by Tom Fox While many companies which operate under anti-bribery laws such as the UK Bribery Act or anti-corruption laws such as the US Foreign Corrupt Practices Act (FCPA), have compliance programs in place to review business relationships, I … Read more »