After the embarrassing news that two of its attorneys are accused of insider trading, the SEC has decided to strengthen its internal compliance program to guard against inappropriate employee securities trading. “It only makes sense that we have a world-class compliance program – just as we expect from those we regulate,” said Chairman Schapiro. “The … Read more »
JD Supra Launches Law Centers
JD Supra is a repository of free legal information shared by legal professionals. It gives you a platform to publish work to a wide audience, maintain a profile and get credited for your experience. Today, JD Supra launched a new feature they call Law Centers. This feature focuses JD Supra content into subject areas for … Read more »
FCPA and the Wall Street Journal
Not since the Siemens FCPA case have I seen the Foreign Corrupt Practices Act show up on the front page of the Wall Street Journal. That case was highlighted because of billion dollar fine. The big part of today’s story was the number of active FCPA cases. According to the story there are at least … Read more »
Why We Think it’s Okay to Cheat and Steal (Sometimes)
Behavioral economist Dan Ariely studies the bugs in our moral code: the hidden reasons we think it’s OK to cheat or steal (sometimes). In this presentation at the February 2009 TED Talks he summarizes some of his studies on cheating. It sounds like he has conducted some fascinating research on cheating. I think it provides … Read more »
Now Available on the Kindle
Compliance Building is now available on the Kindle from Amazon: Compliance Building (Kindle Edition). I have added the Kindle subscription as a third choice on the Subscribe page. (Amazon sets the Kindle subscription price. I would have made it available free if it were an option.) Buy a Kindle or the bigger (and more expensive) … Read more »
First 100 Days
Since we recently passed the new president’s first 100 days, I thought I would do the same for the first 100 days of Compliance Building. Since February 12 there have been: 43,121 page views 22,474 visitors from 142 countries and 3210 cities 179 subscribers by email and RSS feed The website went live on February … Read more »
Corresponding with Cornelius – My Comments Elsewhere
Here are some of my recent comments on some other blogs or other websites that allow comments. Part of web 2.0 and social media is the ability for readers to engage writers and other readers of their stories. I am happy to have you leave comments here at Compliance Building. But if not here, take … Read more »
Social Media and Compliance
Here are materials from my presentation on Social Media and Compliance at the EthicsPoint Regional User Forum. SlideDeck:Social Media and Compliance View more presentations from Doug Cornelius. SlideDeck with Notes: Social Media and Compliance – Hosted on JD supra Sites Shown: Google Reader Compliance Building Wall Street Journal’s RSS feeds Securities Docket by Bruce Carton … Read more »
New Rules of the Game under the New York Public Pension Fund Reform Code of Conduct
Cleary Gottlieb put together a useful Alert Memo on The New Rules of the Game under the New York Public Pension Fund Reform Code of Conduct (.pdf) They outline the key provisions of the Reform Code and suggest action steps for investment firms that do business (or seek to do business) with New York Public … Read more »
EthicsPoint Regional User Forum
Today I am attending the EthicsPoint Regional User Forum in Natick, Massachusetts. Here is the agenda: EthicsPoint Executive Overview – Bill Piwonka, EthicsPoint Senior Director of Marketing will share insight on all things EthicsPoint – including product roadmap into 2010 Management, Oversight, and Analytics – A panel of experts will share best practices and ideas … Read more »