Here are some compliance related news stories from the past week that caught my eye. SEC Steps up Insider-Trading Probes by Kara Scannell and Jenny Strasburg for the Wall Street Journal The Securities and Exchange Commission has sent at least three dozen subpoenas to hedge funds and brokerages within the past month in an expanding … Read more »
Category: Compliance Bricks and Mortar
Engage with Grace
With the Thanksgiving holiday this weekend, I’m turning the blog over to public service. Some conversations are easier than others. Last Thanksgiving weekend, many bloggers participated in the first documented “blog rally” to promote Engage With Grace – a movement aimed at having all of us understand and communicate our end-of-life wishes. It was a … Read more »
Compliance Bits and Pieces for Nov. 20
Here are some interesting stories from the past week: How Presenters Can Deal With A.D.D. Audiences by Charles H. Green for Trust Matters In other words—the heads-down twittering was definitely multi-tasking, but that doesn’t mean there was no dialogue going on. In fact, there was a ton of dialogue. More content per minute flowed through … Read more »
The First CMBS Eligbile for TALF
Developers Diversified Realty Corp. sold $400 million worth of of debt backed by shopping centers backed by 28 malls in 19 states. The offering is the first to use the Federal Reserve’s Term Asset-Backed Securities Loan Facility since it was opened to the debt in June. Investors can take out loans from the TALF to … Read more »
Compliance Bits and Pieces for Nov. 13
Here are some stories that caught my eye over the past week: A Morgan Stanley star falls in China By George Chen and Steve Eder for Reuters His downfall, however, was just as precipitous. Morgan Stanley fired Peterson in December amid suspicions that he had violated the U.S. Foreign Corrupt Practices Act, a law meant … Read more »
Salute a Veteran
U.S. President Woodrow Wilson first proclaimed an Armistice Day for November 11, 1919. “To us in America, the reflections of Armistice Day will be filled with solemn pride in the heroism of those who died in the country’s service and with gratitude for the victory, both because of the thing from which it has freed … Read more »
Copyright and Compliance
I am a big fan of maps. I work for a real estate company, so that should not be surprising. Pictures can usually put information into better context than mere words. Frank Jacobs, just published a book: Strange Maps: An Atlas of Cartographic Curiosities. In an interview with Annika Mengisen on the Freakonomics blog, Mr. Jacobs pointed … Read more »
Compliance Bits and Pieces for Nov. 6
The FCPA’s Imperialist Myth from The FCPA Blog Why aren’t law professors training their students on the issue? The answer, says Elizabeth Spahn, is tied up with false notions in the West about legal imperialism. Elizabeth Spahn’s article, “International Bribery: The Moral Imperialism Critiques,” 18 Minn. J. Int’l L. 155 (2009). Conducting Ethical Corporate Investigations … Read more »
Compliance Bits and Pieces
Here are some interesting compliance stories that have not made their into their own posts: Canada’s Commitment to Combating the Corruption of Foreign Public Officials: Watching Bill C-31 from the Wrageblog Bill C-31, An Act to amend the Criminal Code, the Corruption of Foreign Public Officials Act and the Identification of Criminals Act, was introduced … Read more »
More than 100 Banks Have Failed in 2009
Bank closures are usually symptomatic of the economy. Last Thursday, the number of banks subject to FDIC closure stood at 99. Since FDIC take-overs are usually Friday afternoon, the question was “Would the FDIC would reach one hundred this weekend?” They smashed through the century mark, closing seven banks over the weekend: First DuPage Bank, … Read more »