Category: Compliance Bricks and Mortar

These are some of the compliance-related stories that recently caught my attention. The Troika Laundromat The Organized Crime and Corruption Reporting Project Laundromats are complex systems for moving money that allow corrupt politicians, organized crime figures, and wealthy business people to secretly invest their ill-gotten millions, launder money, evade taxes, and fulfill other goals.OCCRP has … Read more »

These are some of the compliance related stories that caught my attention this week. The Looming SEC IEO Fintech Smackdownby John Reed Stark Not to be confused with initial coin offerings (or “ICOs”), an IEO is a crypto-financing model offered and administrated via a cryptocurrency trading platform on behalf of a company (typically some form … Read more »

These are some of the compliance-related stories that recently caught my attention. Reasonableness Pants Commissioner Hester M. Peirce A strong enforcement program requires us—to draw from the admonition a judge recently gave to us in a matter before her—to “put on [our] reasonableness pants.” The SEC ought always to wear reasonableness pants, and I would like to … Read more »

These are some of the compliance-related stories that recently caught my attention. Who to Sue When a Robot Loses Your FortuneBy Thomas Beardsworth and Nishant KumarBloomberg Business The timeline leading up to the legal battle was drawn from filings to the commercial court in London where the trial is scheduled to begin next April. It all started over lunch at a … Read more »

I’m in Chicago today at the SCCE Regional Compliance & Ethics Conference. I’m speaking in the morning on compliance and corporate governance. If you’re also attending, grab me for a cup of coffee. Meanwhile, here are some of the compliance-related stories that recently caught my attention. Whistleblower Challenges SEC Over Delay on Award Decision by … Read more »

These are some of the compliance-related stories that recently caught my attention. Companies Need to Pay More Attention to Everyday Unethical Behaviorby Yuval FeldmanHarvard Business Review Numerous studies have documented the prevalence of practices such as stealing office supplies, inflating business expenditures reports, and engaging in behaviors that raise conflicts of interest. While these may sound … Read more »

These are some of the compliance-related stories that recently caught my attention. Conflicts of interest for “the little people”by Jeff KaplanConflicts of Interest Blog The conclusion of the Mueller investigation does little to resolve the much broader set of concerns regarding President Trump’s conflicts of interest. These are too numerous to be chronicled on this … Read more »

These are some of the compliance-related stories that recently caught my attention. The Federal Courts Are Running An Online Scam by Seamus Hughes in Politico But I’m here to tell you that PACER—Public Access to Court Electronic Records—is a judicially approved scam. The very name is misleading: Limiting the public’s access by charging hefty fees, … Read more »

These are some of the compliance-related stories that recently caught my attention, The Fall of the Alamo: Analogy for Compliance Officers by Tom Fox in FCPA Compliance & Ethics [March 6] is the anniversary of the most historic day of many in the history of the great state of Texas, the date of the fall … Read more »

These are some of the compliance-related stories that recently caught my attention. CCOs Facing Retaliation by Matt Kelly in Radical Compliance So how should a compliance or audit professional handle retaliation? When should you take your concerns to regulators, or contemplate a lawsuit against your employer? To explore those questions I spoke with Jason Zuckerman, … Read more »