Category: Compliance Bricks and Mortar

These are some of the compliance-related stories that recently caught my attention. Does Profanity at Work Create a Hostile Work Environment? (Maybe.) by Daniel Schwartz in the Connecticut Employment Law Blog The court’s decision focuses on the difference between profanity of the general type, which it calls “general, indiscriminate vulgarity” (presumably, words like “sh**”), and … Read more »

These are some of the compliance-related stories that recently caught my attention. The Impact of Compliance –Another Reversal For a Jefferies Trader by T. Gorman in SECActions The key role of compliance threads through the continuing saga of Jefferies & Co. trader Jesse Litvak as well as a series of similar cases. Mr. Litvak is … Read more »

These are some of the compliance-related stories that recently caught my attention. It’s On! Federal Judge to Hear First Ever Oral Argument Asserting ICOs are NOT Securities. Read Legal Briefs From SEC, DOJ and Defense Here . . by John Reed Stark This week the ICO/SEC battle is finally on: The first ever oral argument … Read more »

These are some of the compliance-related stories that recently caught my attention. SEC Adds Fuel to the Best-Interest Fire by Aron Szapiro Many of us probably have fiduciary rule whiplash. On March 15, a court struck down the Department of Labor’s rules package, known as the fiduciary rule, placing in limbo the new rules as … Read more »

These are some of the compliance-related stories that recently caught my attention. IA Arrested On Bail For Continuing Fraudulent Scheme by T. Gorman in SEC Actions A focus of a typical bail hearing is flight risk – is the person charged likely to return for the pending court proceedings and face the charges. Recently, a … Read more »

These are some of the compliance-related stories that I’ve been reading. Mulvaney’s CFPB plan is dangerous by Rob Blackwell in American Banker On Monday, Mulvaney called for four major reforms to CFPB: putting it on Congressional appropriations; creating a dedicated inspector general (currently the Federal Reserve’s inspector general oversees it); giving the president more oversight of … Read more »

For those of you with that responsibility, I hope you have your Form ADV filed or ready to go. Meanwhile, here are some other compliance-related stories that recently caught my attention. It’s Not Cricket – Ethics on the Pitch by Tom Fox in FCPA Compliance & Ethics Is it cricket? Or isn’t it cricket? That … Read more »

These are some of the compliance-related stories that caught my attention this week. FINRA warns public about fake . . . FINRA by Richard L. Cassin The Financial Industry Regulatory Authority (FINRA) warned about con artists posing as FINRA to make phony investment pitches. Scammers are using FINRA’s name and logo in letters that say … Read more »

These are some of the compliance-related stories that recently caught my attention. Asset Managers Show Less Concern About Compliance by Ben DiPietro More than three-quarters of respondents said the reduced regulatory concern meant compliance issues are not as significant as they were in the past; 52% said they are more focused on reputational risk the … Read more »

These are some of the compliance-related stories that recently caught my attention Misplaced Regulatory Moves, Up Close by Matt Kelly in Radical Compliance Like manna from heaven, every time you write about some grand plan from government, fate sends an example of how harebrained bureaucracy can be in practice. And so today we have an … Read more »