Today, I am in San Francisco at the Enterprise 2.0 Conference at the Moscone Center, speaking on a panel about social media policies. I gave a presentation on Cloud Computing at the 2009 version of the Conference in Boston: Evening in the Cloud and Compliance and a presentation on blogging at the 2008 version of [...]
Archive | November, 2009
How Did Madoff Go Bad?
Last Friday, the SEC published the exhibits for Investigation of Failure of the SEC to Uncover Bernard Madoff’s Ponzi Scheme (Report No. OIG-509). That was 536 separate exhibits tying to fill in the background on what happened with the SEC and Madoff. The one that caught my eye was exhibit 104 that summarized a June [...]
Money Laundering Awareness Handbook
The Organization for Economic Cooperation and Development issued a handbook that provides guidance designed to help tax examiners and tax auditors detect and deter money laundering: The Money Laundering Awareness Handbook for Tax Examiners and Their Auditors. The purpose of this handbook is to raise the awareness level of tax examiners and auditors on money [...]
FINRA and Social Networking
Wall Street bankers and analysts increasingly want to use social networking to connect and interact with customers. But financial services companies have a hard time trying to comply with the compliance and regulatory requirements. Social networking sites such as Facebook, Twitter and LinkedIn provide new ways for financial service firms to connect, inform and interact [...]
Social Media
My social media policies database is available to you.
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