Prestigious firms sued by the SEC, subjects of negative reports, forced to endure angry Congressional testimony arising out of their involvement in the financial crisis of 2008, already provide important lessons for corporate executives. Kalorama Partners CEO Harvey Pitt—the former SEC chairman who has penned a Compliance Week column for seven years—makes his fifth appearance…
Tag: Harvey Pitt
Conversation with Harvey Pitt
This was another “dark session” with about 30 compliance professionals sitting down for an informal discussion with former SEC Chairman Harvey Pitt. I am not going to share detailed notes, just some general issues that were discussed, with no attribution to any individual. Compliance is really about non-compliance. The only reason compliance is relevant is…
Harvey Pitt on Ethical Cultures in a Down Economy – Compliance Week Keynote
My notes, live, from the Compliance Week keynote speech by Harvey Pitt on Ethical Cultures in a Down Economy: After a very brief introduction (especially compared to yesterday’s keynote) by Scott Cohen, Mr. Pitt dove into an entertaining and informative speech. Learning from history is in fact virtually impossible. The only thing we only learn…