These are some compliance related stories that recently caught my attention. Are Girl Scout Cookies Evil? by Chris MacDonald in the Business Ethics Blog Well, apparently nothing is safe from criticism. Girl Guide cookies, as it turns out, are under attack for being made with palm oil, a tropical oil the production of which has … Read more »
Category: Compliance Bricks and Mortar
Compliance Bits and Pieces for May 6
Here are some compliance-related stories that recently caught my eye: Investing in an ethical corporate culture by Aarti Maharaj in Corporate Secretary Companies are starting to distinguish between non-financial and financial risks in order to continue improving their overall governance and business structures. But non-financial risks, such as ethics, still don’t get the attention they … Read more »
Compliance Bits and Pieces – UK Bribery Act Edition
With the recent release of the Guidance under the UK Bribery Act, I decided to pull together some other stories: Howard Sklar decided to start from the back of the guidance and give his thoughts on the case studies: Case Study #1: Facilitation Payments< Case Study #2 Case Study #3: Junior Varsity…I Mean, JVs Case Study #4: Hospitality Case … Read more »
Compliance Bits and Pieces for April 1
Here are some compliance related stories that caught my eye: Playmobil Apple Store Playset from ThinkGeek So when we spotted this amazing Apple Store Playset from PLAYMOBIL™ we were admittedly in a bit of a conundrum. On the one hand, it’s a product designed for children much younger than ourselves. On the other hand, it’s … Read more »
Compliance Bits and Pieces for March 18
Here are some compliance-related stories that recently caught my eye: April 5 Webcast: The SEC’s Asset Management Unit and Strategies for Avoiding Trouble in 2011 and Beyond in Securities Docket In this webcast, Bruce Karpati, the co-head of the SEC’s Asset Management unit since its inception, will discuss his unit’s successes over the past year, … Read more »
Compliance Bits and Pieces for March 11
These are some compliance-related stories that recently caught my eye. Inside The Mind of An Inside Trader by Francine McKenna in re: The Auditors No Big 4 audit firms or their partners have been named in the insider trading scandal surrounding the now-defunct hedge fund Galleon Management. But the SEC has accused one of the … Read more »
Compliance Bits and Pieces for March 4
Here are some recent compliance-related stories that caught my attention. But not enough attention to anything with them other post a snippet of the story. Board Member of Goldman Sachs and Procter & Gamble Charged in Insider Trading Scheme The Securities and Exchange Commission today announced insider trading charges against a Westport, Conn.-based business consultant … Read more »
Compliance Bits and Pieces for February 25
Here are some compliance-related stories that caught my eye: A Blank Check for Cleaning Up Madoff’s Mess by Floyd Norris in the New York Times But the Bernard L. Madoff fraud is proving to be different, and not just because Mr. Madoff ran by far the largest Ponzi scheme ever encountered. … SIPC (pronounced SIP-ick), … Read more »
Compliance Bits and Pieces for February 11
Here are some recent compliance-related stories that caught my eye: FIFA, the World Cup Selection and the FCPA by Tom Fox I was very interested in the allegations of bribery and corruption leveled at FIFA during the selection process, known, these days, as the “world’s richest and most influential single-sport ruling body”. As has been … Read more »
Compliance Bits and Pieces for February 4
Here are some recent compliance-related stories that caught my eye: Leadership (as told by the Pointy-Haired Boss) Paper Lion Ahead for SEC’s Pay-to-Play Exemption? by Allix Magaziner in the Pay to Play Blog On March 14, the SEC’s pay-to-play rule will come into effect and there is growing concern that the rule’s exemption for accidental … Read more »