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Engage with Grace

Tuesday, November 24th, 2009 at 7:00 am
engage with grace 1

With the Thanksgiving holiday this weekend, I’m turning the blog over to public service.
Some conversations are easier than others.
Last Thanksgiving weekend, many bloggers participated in the first documented “blog rally” to promote Engage With Grace – a movement aimed at having all of us understand and communicate our end-of-life wishes.
It was a great success last… » Read More

Technorati Claim

Tuesday, November 24th, 2009 at 6:01 am

sorry to bother… » Read More

Real Estate and OFAC Compliance

Monday, November 23rd, 2009 at 1:39 pm
650 fifth avene

The tale of 650 Fifth Avenue is one that should be closely watched by compliance professionals dealing with real estate. Last year, the Department of Justice filed a forfeiture proceeding against a 40% interest in the property held by the Assa Corporation. They recently filed… » Read More


The Four Areas of Risk and Knowledge

Monday, November 23rd, 2009
4 box black swan

When thinking about risk, I break things into four quadrants. There are things we know and there are things we don’t know as individuals. I then slice slice that further… » Read More

Positioning yourself for tomorrow’s social media today: Practical approaches for legal professionals

Sunday, November 22nd, 2009
lexisnexis

Join me for a 60-minute Webinar at 11:00 am Eastern time on Wednesday, December 9. It’s free, sponsored by Martindale-Hubbell Connected.
The webinar will give you ‘real world’ examples of social… » Read More

Compliance Bits and Pieces for Nov. 20

Friday, November 20th, 2009

Here are some interesting stories from the past week:
How Presenters Can Deal With A.D.D. Audiences by Charles H. Green for Trust Matters
In other words—the heads-down twittering was definitely multi-tasking, but… » Read More

Review of SEC’s Process for Selecting Adviser Examination Targets

Thursday, November 19th, 2009
Review of the Commission’s Processes for Selecting Investment Advisers and Investment Companies for Examination

To continue the Madoff dogpile on the SEC, the SEC’s Office of Inspector General released a report criticizing the SEC’s process for selecting investment advisers and investment companies for examination.
Review… » Read More

Private Fund Investment Advisers Registration Act Status

Thursday, November 19th, 2009

OpenCongress allows you to create custom widgets for the status of bills in Congress. I decided to play around and create one for the House version of the Private Fund… » Read More

New Workplace Posters – EEO is the Law

Thursday, November 19th, 2009
EEO Law

Starting November 21, 2009, you need a new workplace poster: EEO is the Law.
There are two new federal workplace laws the Genetic Information Non-Discrimination Act and the ADA Amendments Act…. » Read More

Federal Regulators Issue Final Model Privacy Notice Form

Wednesday, November 18th, 2009

Eight federal regulatory agencies today released the final model privacy notice form. It’s supposed to make it easier for consumers to understand how financial institutions collect and share information about… » Read More

Fund Registration Act Will Cost the SEC $140 Million

Wednesday, November 18th, 2009
CBO Congressional budget office

The Congressional Budge Office released a cost estimate of H.R. 3818, the Private Fund Investment Advisers Registration Act of 2009. Obviously, there will be an additional cost to fund managers… » Read More

New Anti-Bribery Compendium

Wednesday, November 18th, 2009
trace-compendium-logo

Trace International has launched an online, fully-searchable database containing summaries and analyses of international anti-bribery enforcement actions and investigations in the U.S. and throughout the world. The Trace Compendium summaries… » Read More