These are some recent compliance-related stories that caught my attention. The Skyscraper Index from Barclays Capital (via Barry Ritholz’s The Big Picture) Our Skyscraper Index continues to show an unhealthy correlation between construction of the next world’s tallest building and an impending financial crisis:New York 1930; Chicago 1974; Kuala Lumpar 1997 and Dubai 2010. Yet … Read more »
Category: Compliance Bricks and Mortar
Compliance Bits and Pieces – JOBS Act Edition
The Jumpstart Our Business Startups Act is soon to be law. Here is a smattering of post that caught my attention. In spite of what you may heave heard, the Senate just effectively killed crowdfunding by Alexander J. Davie The replacement crowdfunding bill is significantly more complex and fraught with liability for issuers. While even … Read more »
Compliance Bits and Pieces for March 23
These are some compliance related stories that recently caught my attention. No, You Can’t Tase Compliance by Scott Greenfield It is undisputed that defendant did not threaten, fight with, or physically resist the officers at any time; rather, he simply refused to open his mouth to allow the officers to obtain a buccal swab. . … Read more »
Compliance Bits and Pieces for March 16
These are some compliance-related stories that caught my attention. Availability of Staff Analysis of Market Data Related to Credit Default Swap Transactions from the Securities and Exchange Commission The staff of the Securities and Exchange Commission today has made available publicly an analysis of market data related to credit default swap transactions. … The SEC … Read more »
Compliance Bits and Pieces for March 9
These are some compliance-related stories that recently caught my attention: SEC commissioner, deputy director in public flap over private funds by Mark Schoeff Jr. in Investment News Just as a new regulation requiring private-investment funds to register with Securities and Exchange Commission is about to go into effect, an agency official said that the regulator … Read more »
Compliance Bits and Pieces for March 2
These are some stories that recently caught my attention: Behind the Crackdown on Insider Trading by Peter J. Henning in the NYtimes.com’s DealBook One reason prosecutors have pursued it is the explosive growth of hedge funds and investment advisory firms, which trade billions of dollars worth of securities and have a voracious appetite for information … Read more »
Compliance Bits and Pieces for February 24
These are some compliance-related stories that recently caught my attention: The SEC’s Whistleblower’s Office did not email you It’s spam, linked to a virus. [Insert joke here…] Are Auditors Reporting Fraud And Illegal Acts? The SEC Knows But Isn’t Telling by Francine McKenna in re: The Auditors Section 10A of the Securities and Exchange Act … Read more »
Compliance Bits and Pieces for February 17
These are some compliance-related stories that recently caught my attention: Lessons Learned on Compliance and Ethics by Tom Fox In [Lessons Learned on Compliance and Ethics: The Best from the FCPA Compliance and Ethics Blog ] I have collected some of my posts which I think will help guide you in your own journey through … Read more »
Compliance Bits and Pieces for February 10
These are some compliance-related stories that recently caught my attention: The Fallout from the Latest NLRB Salvo on Social Media by Daniel Schwartz In Connecticut Employment Law Blog [E]very pronouncement from the NLRB is treated as if it is written in stone with lots of suggestions on how to rewrite all of your policies. The latest was … Read more »
Compliance Bits and Pieces for February 3
These are some compliance-related stories that recently caught my attention. Private Equity Bets On Compliance Market With EthicsPoint Deal by Nick Elliott in WSJ.com’s Corruption Currents In a further sign of rising demand for compliance services, private equity firm Riverside Co. has signed a deal to acquire EthicsPoint Inc., which it will merge with its … Read more »