Some interesting stories from the past week: Investor Relations Website Best Practices from the Q4 Blog On January 14, Catherine Crofton, Q4’s VP Sales & Marketing hosted an IR Website Best Practices webinar. Her presentation focused on how to build investor confidence through effective online communications. The presentation includes a lot of great examples of … Read more »
Category: Compliance Bricks and Mortar
Obama Wants More Restrictions on Banks
President Barack Obama proposed new rules designed to restrict the size and activities of the U.S.’s biggest banks. The text of his proposal has not been released yet. All we have is the video, embedded below. The White House wants commercial banks that take deposits from customers to be barred from proprietary trading, owning hedge … Read more »
Compliance Bits and Pieces for January 15
Here are some interesting compliance, risk and ethics stories from the past week: Robert Kennedy, the Travel Act and the FCPA by Thomas Fox in Tfoxlaw’s Blog Robert Kennedy’s contribution is that while Attorney General, he urged Congress to enact the Travel Act in 1961 which was passed as part of the same series of … Read more »
Compliance Bits and Pieces for January 8
Here are some interesting stories from the past week: BAE Bribe Suit Tossed On Appeal from The FCPA Blog The decision is a big win for BAE (and all U.K. companies threatened with shareholder litigation in the U.S.). But it’s another setback for plaintiffs who bring claims based on allegations that, if true, would violate … Read more »
Darth Vader and the New York Stock Exchange
Is this going to improve the image of the stock market? Darth Vader ringing the opening bell at the NYSE?! Lucasfilm Ltd. Brings the Force to the New York Stock Exchange This Holiday Season – press release After more than 30 years, Star Wars maintains its position as the #1 selling licensed toy property in … Read more »
Out With the Old, In With the New
New Year’s Eve is generally a time to reflect on the past and look forward to the future. For many it also involves an excessive amount of alcohol, an expensive dinner in a crowded restaurant, or a long wait for Chinese food delivery. I’m sure there is a compliance story in there somewhere. But I’m … Read more »
Merry Christmas
I’m taking a few days off for the holiday weekend. Image by Das Nili in Wikimedia: Christmas tree near the Quincy Market.jpg Read more »
The Twelve Days of Compliance
Sing it with me: On the first day of compliance, my audit gave to me: Madoff in a prison jumpsuit. . . On the second day of compliance, my audit gave to me: Two legal frauds, and Madoff in a prison jumpsuit. . On the third day of compliance, my audit gave to me: Three … Read more »
Compliance Bits and Pieces for December 18
Here are some interesting stories from the past week: “Mr. Ruehle, You Are a Free Man”: Judge Carney’s Dramatic Dismissal of the Broadcom Backdating Criminal Case by Kevin M. LaCroix in The D&O Diary There has been widespread news coverage of the dramatic December 15, 2009 decision of Central District of California Judge Cormac Carney to … Read more »
Compliance Bits and Pieces for December 11
Here are some interesting stories from the past week. Tis the Season! Where are the gifts from vendors?? from Kathleen Edmond, Best Buy’s Chief Ethics Officer This time every year we send out reminders to our employees that we do not accept gifts from vendors. At the same time we send letters to our vendors … Read more »