Category: Compliance Bricks and Mortar

Here are some interesting stories from the past week: The Difference Between Wrong and Illegal by Charles H. Green Do you know the difference between a wrong action and an illegal action? If you don’t, you are not alone. But neither are you to be trusted. Ghostblogging will be the death of social media in … Read more »

Here are some compliance related stories from the past week: Securities Docket Radio: Available Free on iTunes Securities Docket Radio is now available as a free download on iTunes! To listen to or download the debut program featuring Bruce Carton’s interview with Sanjay Wadhwa, Deputy Chief of the SEC’s new Market Abuse Unit, please click … Read more »

Here are some compliance stories from the past week that I found interesting: Shadowing a Swindler by Richard Tofel His review of the Harry Markopolos book: No One Would Listen [N]early all the whistleblowers she had met shared two qualities. First, they were onto something—that is, there was at least some truth to what they … Read more »

Here are some compliance related stories from the past week: Setting Off Alarm Bells at Work by Steven D. Levitt on Freakonomics Apparently, the use of such internet sites [Facebook]  is not tolerated by CPS and rather than block those websites altogether, accessing them causes this ear-piercing noise to go off that sounds something like … Read more »

Here are some interesting compliance related stories from the past week: List of Troubled Banks at 16-Year Peak, F.D.I.C. Says by Eric Dash in the New York Times After weathering the nation’s worst run of bank failures in nearly two decades, the Federal Deposit Insurance Corporation announced Tuesday that it had added 450 institutions to … Read more »

Here are some interesting compliance related stories from the past two weeks. (I reserved last week for my blogoversary.) Details Emerge on SEC Office of Market Intelligence by Bruce Carton in Compliance Week One of the first tools that the Securities Exchange Commission launched after it ushered itself into the Internet era in the mid-1990s … Read more »

Here are some interesting stories from the past week: Can your Broker be your Facebook Friend? by Gil Yehuda on Gil Yehuda’s Enterprise 2.0 Blog Can brokers set up blogs? What about the comments that people post to their blogs? Can brokers give financial advice on discussion forums? What if a broker sets up a … Read more »

Here are some interesting stories from the past week: French Supreme Court Limits the Scope of the Whistleblowing Process by Cecile Martin in the Privacy law Blog For the first time the French Supreme Court addressed the issue of the validity of a Code of conducts that had been implemented by a listed company (Dassault … Read more »