The SEC has just published the text of the proposed rule on political contributions by investment advisers. SEC voted unanimously to propose this rule at its July 22nd Open Meeting. http://www.sec.gov/rules/proposed/2009/ia-2910.pdf The proposed rule is intended to curtail “pay to play” practices by investment advisers that seek to manage money for state and local governments. [...]
Archive | August, 2009
Compliance, Van Halen and Brown M&M’s
You may have heard the story about Van Halen’s banning of brown M&M’s from its dressing room. I chalked it up to the pampered life of rock stars. (Especially, when compared to the more mundane life of a chief compliance officer.) I just listened to the latest episode of This American Life which revealed that [...]
Top Ten Mistakes Lawyers Make with Social Media
Lawyers and law firms are rapidly adopting social media to market themselves and connect with peers. These are new tools. We are all trying to figure out how to use them. Just to make it more difficult, the tools themselves are rapidly evolving as we are learning how to use them. Some lawyers are doing [...]
Social Media
My social media policies database is available to you.
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