Bruce Carton and SecurtiesDocket presented this informative webinar. The panelists were: – Hank Walther, Dept. of Justice – Larry Urgenson, Kirkland & Ellis – Elliot Leary, KPMG Forensic – Phil Desing, KPMG Forensic The panel started of with parallel international investigations. This is a new topic because for years there was no other country enforcing … Read more »
The Dark Side of Aggressive Goal Setting in the Workplace: A Shortcut to Unethical Behavior
EthicsPoint sponsored a webinar by Dr. Lisa Ordóñez, University of Arizona, Professor of Management and Organizations in the Eller College of Management at The University of Arizona “Applied managerial experience and hundreds of academic research studies have catalogued the positive impacts of goal setting on performance. Challenging, specific goals compared to instructions to “do your … Read more »
National Data Privacy Laws Move Forward
With last week’s further revisions to the Massachusetts Data Privacy Law [Massachusetts Amends Its Strict Data Privacy Law (Yet, Again)], people are wondering if the federal government is going to step into the space and create a national standard. Most states have enacted some form of data breach or data privacy law, crating patchwork of … Read more »
Another Private Fund Registration Bill
As expected, Senator Dodd introduced a comprehensive bill for revising the regulatory system for the U.S. financial services industry. Restoring American Financial Stability Act of 2009. You can tell its comprehensive because the discussion draft weighs in at 1,136 pages. I have not read all of it, but I did focus in Title IV: Regulation … Read more »
Salute a Veteran
U.S. President Woodrow Wilson first proclaimed an Armistice Day for November 11, 1919. “To us in America, the reflections of Armistice Day will be filled with solemn pride in the heroism of those who died in the country’s service and with gratitude for the victory, both because of the thing from which it has freed … Read more »
Trust and Financial Regulation
Ronald J. Colombo of Hofstra University School of Law wrote a great paper on The Role of Trust in Financial Regulation. Trust is an important part of our financial markets. Scandals, massive incompetence, massive irresponsibility, massive fraud, have shaken trust in the financial markets. Commentators, policy makers, and industry leaders have all recognized the need … Read more »
Copyright and Compliance
I am a big fan of maps. I work for a real estate company, so that should not be surprising. Pictures can usually put information into better context than mere words. Frank Jacobs, just published a book: Strange Maps: An Atlas of Cartographic Curiosities. In an interview with Annika Mengisen on the Freakonomics blog, Mr. Jacobs pointed … Read more »
OFAC has Released its Economic Sanctions Enforcement Guidelines
The final Read more »
International Fraud Awareness Week
November 8-14, 2009 is International Fraud Awareness Week. This weeklong campaign, sponsored by the Association of Certified Fraud Examiners, encourages business leaders and employees to proactively take steps to minimize the impact of fraud by promoting anti-fraud awareness and education. Test your knowledge about fraud with this Fraud IQ Test, which includes 20 actual questions … Read more »
Compliance Bits and Pieces for Nov. 6
The FCPA’s Imperialist Myth from The FCPA Blog Why aren’t law professors training their students on the issue? The answer, says Elizabeth Spahn, is tied up with false notions in the West about legal imperialism. Elizabeth Spahn’s article, “International Bribery: The Moral Imperialism Critiques,” 18 Minn. J. Int’l L. 155 (2009). Conducting Ethical Corporate Investigations … Read more »