Category: Off Topic

Vaccine Tracker

From xkcd: https://xkcd.com/2398/

Meanwhile on Wednesday, the Securities and Exchange Commission is scheduled to vote on a new advertising rule for registered investment advisers. From the Sunshine Act notice for the meeting;

2. The Commission will consider whether to adopt amendments under the Investment Advisers Act of 1940 to update rules that govern investment adviser marketing to accommodate the continual evolution and interplay of technology and advice, while preserving investor protections. The Commission will also consider whether to adopt amendments to Form ADV to provide the Commission with additional information about advisers’ marketing practices, and corresponding amendments to the books and records rule under the Advisers Act.

Support Compliance Building and Fight Cancer

Thank you for reading Compliance Building. It’s been quiet here on the publishing front. Not that compliance is any less important. With the pandemic, I’ve been pulled in several different directions. One direction that has not altered is my commitment to fight against cancer.

The pandemic has cancelled the organized ride part of the Pan Mass Challenge leaving it up to the fundraising riders to “re-imagine” their rides. My imagination has planned a Pan Mass Challenge Week. It kicks off on Saturday with a ride across Massachusetts from the New York border to Boston Harbor. 160+ miles.

If you enjoy Compliance Building, please support this ride and donate: https://donate.pmc.org/DC0176

100% of your donation will go the Dana-Farber Cancer Institute to help in the fight against cancer.

I’ll be back to publishing compliance stories in August.

Go Vote

It’s election day. Make sure you vote today.

Only 42% of registered Americans came out to vote in the 2014 midterms. The numbers get even worse when you look at millennials, only about 20% of millennials showed up in the last two midterm elections. Add in the vast number of unregistered voters and you have a lot of government being selected by a minority of the population.

If you are thinking of not voting, realize that casting your vote sends a message to future candidates and platforms that they can’t rely on just the most vocal electorate.

It’s likely that most of the races on your ballot, like mine, are uncontested. A few may be hotly contested. It doesn’t matter; just go vote.

Tone at the Top

I will sound like an obnoxious Boston Sports Fan this morning. Boston is back to being a championship city with the Red Sox winning the World Series. As an announcer said, it’s been five years since they won the World Series. Switching sports, it’s only been one season since the New England Patriots won the Super Bowl.

It has not always been like this. I grew up going to the perennially losing Patriots. We would sit on those cold aluminum benches, just waiting for the team to disappoint us once more. The one time they achieved some success, they got embarrassed by the Chicago Bears in the Super Bowl.

Growing up, it had been so long since the Red Sox had won the World Series. Grandpa Cornelius had just emigrated to the United States when they had last won the title.

What changed for those two teams was a change to the tone at the top. The mantra of compliance. New owners came into each team with a dedication to winning.

John Henry’s Fenway Sports Group bought the Red Sox in 2002. Since then, the team has won the World Series four times. The prior owner was a trust running the team for a decade after the death of the long time owners.

Robert Kraft’s Kraft Sports Group bought the New England Patriots in 1994. Since then it’s been five Super Bowl titles.

New ownership changed the tone at the top.

Please Welcome the Latest Contributor

I’m pleased to announce the latest addition to the Compliance Building family.

Boo has been in training for her first week, as you might expect.

So far she has passed the sleeping through the night module.

She is still working on the waste disposal training module. We expect no less than 100% compliance to pass that one. For now, she is still on high surveillance because of her performance.

We are working on the sit, stay, and come training programs. She is doing remarkably well considering this is her first real position.

Boo is clearly enjoying the food buffet at HQ. She gained four pounds in the first week. But that is expected.

Of course, interpersonal skills with co-workers is important. Senior Contributor, Ghost, is trying to teach Boo about corporate culture. That includes the importance of sleeping on the couch, barking at the mailman, and welcoming home the Compliance Building publisher.

Happy Patriots’ Day

The Redcoats are coming! The Redcoats are coming!

Patriots’ Day is a Massachusetts state holiday commemorating the opening battles of the American Revolutionary War in Lexington and Concord in April, 1775. In the morning there is a battle reenactment on the Lexington Green of the early-morning engagement between the town’s militia and the British regulars. If you remember back to U.S. history class, that battle was the shot heard round the world.

There is also a re-enactment of the rides of Paul Revere and William Dawes from Boston out to Lexington. (You don’t know about Hawes because Longfellow didn’t write a poem about him.) That ride started out with the “one if by land, two if by sea” signal to Charlestown in case Revere and Dawes were captured.

The more modern day event is the running of the Boston Marathon, starting in Hopkinton and ending 26.2 miles later in Copley Square.

What does this have to do with compliance or business ethics? Nothing. It’s a holiday here in Massachusetts so I am out of the office.

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