Doug Cornelius on compliance for private equity real estate
Registered Representatives with a broker-dealer presently have two years from their date of leaving a firm to re-register with another firm. Otherwise their qualifications, and especially their passed examinations, would lapse. Reps would sometimes try to “park” their registration at a firm to avoid having to re-take examinations. Nobody wants to re-take those exams. FINRA…
Running drills is important. Experience with adverse circumstances is important so that you and your co-workers know what to do if there is a problem. Drills are especially important for dangerous circumstances. There is a reason that building managers, schools and other institutions run fire drills. If there is an actual fire, you will know…
Yale University has published the lectures from its Economics 252 course on YouTube. There are 26 lectures from Robert Schiller and some of his guests during the Spring of 2008. (Yes, that Robert Schiller.) This ECON 252 course is one of several courses available from Open Yale. These are selected lectures and other materials from…
The Society of Corporate Compliance & Ethics has released the schedule of programs for its Compliance & Ethics Institute to be held September 13-16 in Las Vegas: Preliminary Brochure (.pdf) I am not sure if I am going to head out to Las Vegas for this particular conference, but there are some very interesting topics…
Those of you that watch NBC’s “The Office” see some of the best examples of what NOT to do in business every week. They also tackled what not NOT to do in an Ethics Training course. The clip shows some of the worst training skills (reading from the binder, HR-speak, etc.). It also provides an…
The Massachusetts State Ethics Commission has published an Online Training Program for Chapter 268A. The interactive questions and answers are directed at state employees.
Jeffrey M. Kaplan and Rebecca Walker, partners in the law firm of Kaplan & Walker LLP wrote an article Thinking About Training in the March/April 2008 edition of Ethikos. The goals of training—to enhance employees’ understanding of the law and company policy and promote ethical business conduct—will not be achieved if training is not comprehensible…
In this podcast panel discussion, OCEG’s Carole Switzer moderates a discussion with ELT’s Shanti Atkins and SAI Global’s Mark Rowe to answer the question of how much is enough when it comes to compliance and ethics training. You can listen to a webcast and read a transcript (.pdf). Ms. Atkins talks about a three layers…