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 […]
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 […]
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 […]
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 […]
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 […]
Ted Nunez, Ph.D. Director, Ethics & Corporate Compliance at Kaplan EduNeering gave the presentation on this webinar. Compliance already has a lot on its plate, does sustainability also belong there? These are my notes: To start, what is corporate social responsibility? It depends on who’s asking. Different companies have different views and different needs. It’s […]
In a widely publicized story, The Carlyle Group has agreed to adopt New York Attorney General Andrew Cuomo’s Public Pension Fund Reform Code of Conduct. It is the first money manager to adopt Cuomo’s new “code of reform” for the municipal-pension market. (Carlyle executives will not be subject to any criminal liability under the settlement […]
Many have been contemplating and prognosticating the death of the billable hour for lawyers. I found it interesting to see a similar movement in the advertising industry. (I was unaware that the advertising industry also worked on a billable hour model.) A story in the latest issue of The Economist points to a movement to […]
On Monday, the Supreme Court agreed to rule on the constitutionality of the Public Company Accounting Oversight Board. The Sarbanes-Oxley Act passed in 2002 created PCAOB as a new government agency to regulate firms that audit the books of publicly traded companies. The key question in the case is whether the Act violated the separation-of-powers […]
A report from the SEC’s Inspector General has publicized that two attorneys at the Securities and Exchange Commission are under “active” criminal investigation by the FBI for trading stocks based on inside information. Bad news for an agency that is still under fire for missing the Madoff fraud. Besides the salacious news, there are some […]
- SEC Loosens the Standards in Trade Monitoring
- Can a Real Estate Fund Manager Be a Venture Capital Fund Manager?
- Compliance Bricks and Mortar for June 19
- I Ask For Your Money
- The SEC Goes After the Gate Keeper
- Whistleblower Retaliation
- Compliance Bricks and Mortar for June 12
- Cyber Insurance: A Pragmatic Approach to a Growing Necessity
- The SEC Suffers a Setback In Its Use of In-House Judges
- SEC Loses Case Over the Word “May”
Dodd-Frank’ed Real Estate
- Yes, the SEC Wants Real Estate Fund Managers to Register
- Are Real Estate Fund Managers Registered with the SEC?
- Are you an Investment Company?
- Real Estate Funds and the Investment Company Act
- Are you an Investment Adviser?
- Custody and Private Funds
- Private Equity Real Estate Top 50 – 2015 Edition of Who is Registered