Category: Compliance Bricks and Mortar

To all of you in the path of Hurricane Florence, I wish you the best in your battle against the winds and rain. If you need something to read, these are some of the compliance-related stories that recently caught my attention Why Compliance Programs Fail—and How to Fix Them by Hui Chen and Eugene Soltes … Read more »

These are some of the compliance-related stories that recently caught my attention or I missed while on vacation. SEC Ratifies Appointment of ALJs and Lifts Stay on Pending Administrative Proceedings The Securities and Exchange Commission (“SEC” or “Commission”) has issued an order clearing the way for cases to proceed before its own administrative law judges … Read more »

These are some of the compliance-related stories that caught my eye recently. Compliance Activists vs. Effective Compliance Professionals by Roy Snell Some of the most ineffective compliance professionals I have met run up and down the hall with their hair on fire over every little thing. Ineffective compliance professionals see their role as that of … Read more »

These are some of the compliance-related stories that recently caught my attention. Automation & Control Lessons in Latest SEC Enforcement by Matt Kelly in Radical Compliance We have an interesting enforcement action from the Securities and Exchange Commission this week, where the agency dinged a telecom company and its former executives $1.9 million for misleading … Read more »

As you’re reading this Friday, I’m somewhere between the New York state line and Sturbridge, Mass. for an extra day of riding before the official Pan Mass Challenge starts on Saturday. A huge number of supporters of Compliance Building have donated in support of the ride, with 100% of that money going to the Dana-Farber … Read more »

These are some of the compliance-related stories that recently caught my attention. Commission extends post-Lucia stay 30 more days By Rodney F. Tonkovic, J.D. The SEC has extended a stay of pending administrative proceedings for an additional 30 days. The initial order was issued on June 21, 2018 and stayed pending administrative proceedings until July … Read more »

These are some of the compliance-related stories that recently caught my attention. Compliance 101: Defining a Control by Matt Kelly in Radical Compliance Last week I was speaking at an ethics and compliance event in Houston, where one of the other speakers stumped the crowd with a deceptively simple question: What is a control? After … Read more »

These are some of the compliance-related stories that recently caught my attention. SEC Investor Advocate’s 2019 objectives include broker-dealer standards of conduct, Kokesh concerns by Amanda Maine, J.D. in Jim Hamilton’s World of Securities Regulation The SEC’s Office of the Investor Advocate (OIA) has submitted a report on its objectives for fiscal year 2019, which … Read more »

These are some of the compliance-related stories that recently caught my attention. Is Over-Regulation Really the Reason There are Fewer IPOs? by Kevin LaCroix There is one aspect of Coffee’s analysis that in my mind warrants further consideration. In discussing the advantages for smaller companies of raising money through venture capital or private equity rather … Read more »

These are some of the compliance-related stories that recently caught my attention. What can we learn from employee reimbursement program disasters? by Julie DiMauro Boston-based mutual fund company Fidelity fired or let resign about 200 people during the past year after discovering that some employees misused the firm’s partial-reimbursement program, the Wall Street Journal reported, citing a … Read more »