These are some of the compliance-related stories that recently caught my attention. Four Signs Your Awesome Investment May Actually Be A Ponzi Scheme by Theo Francis in NPR’s Planet Money [I]t turns out that the Ponzi industry is much broader and deeper than even the biggest blowups suggest. That’s one lesson of a slim new … Read more »
Category: Compliance Bricks and Mortar
Compliance Bits and Pieces For July 20
These are some stories that recently caught my attention: Inside Straight: The Shoemaker’s Children by Mark Herrmann in Above the Law I recently heard a law firm presentation describing the UK Bribery Act along the lines I just laid out. A member of the audience asked the obvious question: “If bribery of anyone — including … Read more »
Compliance Bits and Pieces for July 13
These are some recent compliance-related stories that caught my eye. How To Define Your Terms In 300 Pages by Theo Francis in NPR’s Planet Money In Tuesday’s show, economist Luigi Zingales warned that massive, overly complicated laws and regulations go a long way toward undermining public trust in the government. They leave only lobbyists and … Read more »
Compliance Bits and Pieces – Viva Le Tour
Saturday is the start of Tour de France as most of the world’s best cyclist queue at the starting line in Liège, Belgium. This week’s gathering of compliance stories starts with my story in Wired.com. A Geek’s Guide to the Tour de France The 99th edition of the Tour de France starts Saturday in Liège, kicking … Read more »
Compliance Bits and Pieces for June 22
SEC Charges Florida Broker in Astrology-Based Ponzi Scheme “Persaud preyed on people who trusted him by promising high and steady returns while hiding his unconventional trading strategy,” said Eric I. Bustillo, Director of the SEC’s Miami Regional Office. “When Persaud blatantly lied to investors and hid their losses through a Ponzi scheme, he should have … Read more »
Compliance Bits and Pieces for June 15
Setting the Career Path for Compliance Officers by Matt Kelly in Compliance Week‘s Big Picture blog I asked these half-dozen conference attendees to sit down with me over breakfast and explain why workforce development is such a challenge for this field. The problem has its roots in two fundamental tensions, they told me. First is … Read more »
Compliance Bits and Pieces for June 8
These are some compliance-related stories that recently caught my attention: Focus of SRO Hearing Shifts to Regulatory ‘Fatigue,’ SRO Burden for Small Advisors in fi360 blog At the end of the day, both sides could claim points scored, although it was probably a Pyrrhic victory for SRO opponents. The die is cast for a favorable … Read more »
Compliance Bits and Pieces for May 18
These are some compliance-related stories that recently caught my attention. Compliance officers face multiple options for credentials Certification and continuing education courses abound for compliance professionals, as the demand for their expertise grows and as they seek new jobs and higher wages. Membership groups and educational programs abound to help professionals increase their skills and … Read more »
Compliance Bits and Pieces for May 11
These are some of the compliance-related stories that recently caught my attention. A Shiny New Website for the S.E.C. by Kevin Roose in DealBook Our favorite part of the site is the silver whistle pictured on the homepage. Emblazoned with the agency’s logo, the whistle is a nod to the S.E.C.’s status as the whistleblower … Read more »
Compliance Bits and Pieces for April 20
These are a few of the compliance-related stories that recently caught my attention. How Many Errors Can You Make In 9,000 Words, More Or Less? By Keith Paul Bishop California Corporate and Securities Law Blog The Jumpstart Our Business Startups Act (JOBS Act) is a very modest 9,000+ words. In comparison, the Dodd-Frank Act is … Read more »