Category: Compliance Bricks and Mortar

These are some of the compliance related stories that recently caught my attention: Cybercriminals Have Your Business In Their Crosshairs And Your Employees Are In Cahoots With Them by Ivy Walker So how are your employees in cahoots with cyber attackers? Because the number one way hackers gain access to small business networks is when … Read more »

These are a few of the compliance related stories that recently caught my attention. Why The SEC Shutdown Must End (Now) by John Reed Stark It is not surprising that the SEC has only filed one civil action in federal court since the shutdown began, which was a parallel action brought alongside the U.S. Attorney’s Office for … Read more »

These are some compliance-related stories that recently caught my attention: SEC Brings Enforcement Action for Failure to Verify Accredited Investor Status by Steve Quinlivan The SEC alleged CoinAlpha did not have pre-existing substantive relationships with nine of the fund’s investors and engaged in a general solicitation of public interest in the securities offering through CoinAlpha’s website, which … Read more »

These are some of the compliance-related stories that recently caught my attention. The Shift from Active to Passive Investing: Potential Risks to Financial Stability? by Patrick McCabe, Board of Governors of the Federal Reserve System In our working paper, we examine four channels by which the active-to-passive shift may affect financial stability: (1) effects on liquidity … Read more »

These are some of the compliance-related stories that recently caught my attention. Little bits to grow your building knowledge base. Steve Cohen Will Pay Extra for Compliance Tips by Matt Levine How did this happen, you might well ask. There are some obvious answers. For one thing, a culture of compliance at Point72 really might … Read more »

These are some of the other compliance-related stories that recently caught my attention. Time to Renew Registrations for RIAs and BDs; SEC Allows Mutual Fund Boards to Rely on CCOs, and NFA kicks out Members for Failure to Pay Dues: Regulatory Update for November 1, 2018 by Hardin Compliance Consulting LLC Annual Renewal Program for … Read more »

These are some of the compliance-related stories that recently caught my attention. ‘I had a moral duty’: whistleblowers on why they spoke up by Teri Pengilley, Christopher Thomond , Murdo MacLeod, Sarah Lee and words by Caitlin Disken in The Guardian To mark the 25th anniversary of the whistleblowing charity Protect (formerly known as Public … Read more »

These are some of the compliance-related stories that recently caught my attention. The Knowledge Transfer Equation by V. Mary Abraham But how do we transfer knowledge effectively? The answer Davenport & Prusak offer may not be exactly what you were looking for: “The short answer, and the best one, is: hire smart people and let … Read more »

These are some of the compliance-related stories that recently caught my attention. Today’s compliance is more than due diligence and red flags by Alison Taylor in the FCPA Blog Every year for the past decade, BSR has surveyed sustainability leaders at our global member companies on the State of Sustainable Business, in a collaboration with Globescan. To mark … Read more »

These are some of the compliance-related stories that recently caught my attention. SEC Enforcement & Venue: A Question of Fairness by T. Gorman  in SECActions ow is the time for the Commission to step-up and be a leader in the effort to instill a new fairness in the administrative enforcement process. That begins with a recognition that not every … Read more »