eBay took a bold move yesterday, using Web 2.0 tools for investor relations. During its first analysts’ meeting in three years, eBay management had a live twitter stream with live coverage of the meeting and bloggers with just less than live coverage of the meeting. The securities industry seems to be struggling with Web 2.0 [...]
Archive | March, 2009
Connecticut Hedge Fund Regulation
The folks over at the Hedge Fund Compliance Blog point out that the Connecticut legislature has three bills pending that would regulate the hedge fund industry in that state. It seems strange that a state with such a big hedge fund industry would make their businesses more difficult. But these are strange economic times. It [...]
The Subprime Boomerang: After the Writedowns Comes the Litigation
Securities Docket put on a great webinar on The Subprime Boomerang: After the Writedowns Comes the Litigation. Bruce Carton moderated a panel of Veronica Rendon of Arnold & Porter, Richard Swanson of Arnold & Porter and Jeff Nielsen of Navigant Consulting, Inc. Jeff started off my showing how much complicated the picture is for securitized [...]
SEC’s Notice and Access Rules: What Do They Mean For Your Company?
Computershare has put together a White Paper that they distributed through Compliance Week: An Explanation of the SEC Notice and Access Rules: What Do They Mean for Your Company? (.pdf)[For Compliance Week Subscribers] Pamela Eng, Product Manager for Computershare Investor Services takes us through The SEC’s Shareholder Choice Regarding Proxy Materials rules in Release No. [...]
Online Social Networking: Is It a Productivity Bust or Boon?
I recently had an article on Faceblocking published in the March 2009 issue of Law Practice magazine: Online Social Networking: Is It a Productivity Bust or Boon for Law Firms? Steve Matthews and I conducted an informal poll to see if we could confirm that law firms were blocking access to social networking sites. Our [...]
FINRA Announces Creation of “Office of the Whistleblower”
FINRA announced that they have created a new Office of the Whisteblower to expedite review of high-risk tips. FINRA Senior Vice President Cameron Funkhouser will oversee this new office. What’s not clear to me is how this new initiative differs from the existing File a Regulatory Tip procedure. According to the press release, this new [...]
Cost-effective Compliance Risk Assessment
Rees Morrison, publisher of Law Department Management, is hosting a series of articles on Cost-effective Compliance Risk Assessment. This series is written by Jeff Kaplan of Kaplan & Walker LLP. The first article was on Three trends regarding the costs of ineffective compliance. Jeff first focused on the increasing occurrence of the “mega fine.” Then [...]
Lawyer’s Noisy Withdrawal from Stanford Case
Lawyers must protect their clients’ confidence, but they can’t aid in the commission of a potential crime. The Wall Street Journal covered some of the facts leading up to the “noisy withdrawal” of Thomas Sjoblom of Proskauer Rose LLP from their representation of the Stanford Financial Group: Top Lawyer’s Withdrawal From Stanford Case Waves a [...]
Twitter Good or Bad?
Most people are up in the air about what to do with Twitter. I thought I would put together two contrasting views. First up, Evan Williams on how Twitter’s spectacular growth is being driven by unexpected uses: And then Jon Stewart on why the Twitter Frenzy is silly: The Daily Show With Jon StewartM – [...]
Federal Knowledge Management Working Group
The Federal Knowledge Management Working Group consists of over 700 Federal employees, contractors, academicians and interested members of the public who have mounted a campaign to enhance collaboration, knowledge and learning in the Federal Government by implementing formal knowledge management. Neil Olonoff, who is the leader for the initiative looking at the formation of a [...]
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