Category: Compliance Bricks and Mortar

These are some recent compliance-related stories that caught my eye: Take A Seat, and Other Bribes by Scott Greenfield in Simple Justice And if you don’t think the FCPA matters to you, who do you think it paying the many millions of dollars forked over to lawyers and government, not to mention the opportunity costs … Read more »

Here are some recent compliance related stories: Trusted Transactions, or Trusted Relationships? by Charles H. Green in Trust Matters Much of the public dialogue today confuses these two distinctions. Is it Congress that people don’t trust? Or is it members of Congress who themselves are considered untrustworthy? To the average voter, it’s a distinction without … Read more »

These are some compliance-related stories that recently caught my eye: A Mansion, a Lamborghini, and Cocaine in Investor’s Watchdog I often get the question, “How can we spot a financial scamster?” I always answer that, without training, you cannot spot them by sight and that the very best scamsters look just like the face in … Read more »

Here are some interesting compliance related stories that I’ve run into recently: Birthday Parties Not Enough to Support Inference of Discrimination; Shifting Reasons for Termination Get Case to Jury Though by Dan Schwartz in the Connecticut Employment Law Blog First, beware the birthday parties. They may be good morale boosters but some people may find … Read more »

Here are some recent compliance-related stories that I found interesting: The face of the financial crisis by Larry Ribstein in the Creative Destroyer We need somebody we can send off to jail. Jail apparently provides the moral clarity necessary to wrap up a financial crisis. Bernie Madoff’s just an old-fashioned fraud from another era. The … Read more »

Here are recent compliance related stories from the past week: In case you missed it: Its Official: Recession Ended June 2009 by Barry Ritholtz in The Big Picture The Business Cycle Dating Committee of the National Bureau of Economic Research met yesterday by conference call. At its meeting, the committee determined that a trough in … Read more »

Here are some recent compliance-related stories that I found interesting: Fighting to Protect Consumers by Elizabeth Warren in the Huffington Post The president asked me, and I enthusiastically agreed, to serve as an Assistant to the President and Special Advisor to the Secretary of the Treasury on the Consumer Financial Protection Bureau. He has also … Read more »

It’s back-to-school week for me (well … my kids). That means summer is over and time to re-focus on good compliance and ethics. Here are some stories on those topics that popped up recently: Boards of directors: Clueless, but not criminal, mostly by Matt Kranz in USA Today Directors are rarely charged with fraud. The … Read more »

You are either getting your kids back to school, enjoying a vacation, or enjoying everyone else being out of the office on vacation. Me? I’m out of the office. There was still some interesting compliance news this past week: SEC employees win battle to dress casual By Zachary Goldfarb for Market Cop Some of the … Read more »

Here are some recent stories I found interesting: A Red Flag on G.M. Internal Controls by Peter J. Henning in the New York Times’ DealBook General Motors filed its S-1 on Wednesday, and its list of potential risks to the company contains the usual array of obvious market threats and uncontrollable events that might be … Read more »