Next week I will in Washington, D.C. attending Compliance Week’s Fifth Annual Conference. Let me know if you are attending. [email protected] Read more »
Category: Conference Notes
Interact Conference
I’m in Miami today for Interact 2010. I will try to post my notes from some of the sessions. Here is my agenda for the day: Innovations in Legal and Compliance Technologies Afshin Behnia, President & CEO, Mitratech. The session will review the state of the legal and compliance industries and present new trends and … Read more »
Implementing Compliance Practices for Social Media
I was in the audience for FINRA’s latest educational Program: Implementing Compliance Practices for Social Media. This program addressed implementation of new guidance that FINRA recently issued in Regulatory Notice 10-06, concerning social media. Resources and Supplementary Material (.pdf) Slide deck (.pdf) These are my notes, live from the program (& riddled with typos): Introduction … Read more »
Upcoming Appearances and Conferences
For those of you stalking me or trying to find out when my house is empty, here are some places I will be this spring: Mark Fryenburg asked back to his speak to his class: CS 299 Web 2.0: Technology, Strategy, Community. I’m going to tackle personal knowledge management. After all, that is the reason … Read more »
Wrap Up of the Global Ethics Summit 2010
Dow Jones and Ethisphere put on a great conference addressing ethics and compliance professionals. The Global Ethics Summit 2010 had a stellar line up of panels and presenters. As with most conference’s it lacked power and wifi access. Fortunately, my company’s sturdy laptop battery and AT&T wireless access card allowed me to live blog from … Read more »
Does Compliance Matter?
I am attending the Global Ethics Summit 2010, hosted by Dow Jones and Ethisphere. Here are my notes, live from this session: When trouble arises, one of the factors prosecutors consider during an investigation is the existence of a strong compliance program. Recently proposed amendments to the Federal Sentencing Guidelines would formally lower the sentencing … Read more »
When the Government Comes Knocking
I am attending the Global Ethics Summit 2010, hosted by Dow Jones and Ethisphere. Here are my notes, live from this session: What’s the best course of action when addressing a regulatory inquiry? Many have suggested that having a better than average compliance program to showcase will certainly help your case. But what are some … Read more »
Transparency – What, How Much and When?
I am attending the Global Ethics Summit 2010, hosted by Dow Jones and Ethisphere. Here are my notes, live from this session: How much should a company be disclosing to shareholders, investing communities, regulatory authorities and customers about its compliance program and other ethics-related activities? What risks does a company shoulder when it takes a … Read more »
Don’t Be Evil: Imagination at Work with Google and GE’s Compliance Programs
I am attending the Global Ethics Summit 2010, hosted by Dow Jones and Ethisphere. Here are my notes from this session: General Electric and Google are two very different, yet equally substantial powerhouses with varying businesses to each company’s name. Ensuring compliance with U.S. and foreign regulations while maintaining Google and GE’s respective competitive edges … Read more »
Training a Diverse Workforce: Best Practices
I am attending the Global Ethics Summit 2010, hosted by Dow Jones and Ethisphere. Here are my notes, live from this session: Having a code of ethics is not enough to ensure compliance. Training is the vital step that brings these standards to life—effective training helps ensure that key tenets are retained and applied. While … Read more »