Compliance Bits and Pieces for January 22

Some interesting stories from the past week:

Investor Relations Website Best Practices from the Q4 Blog

On January 14, Catherine Crofton, Q4’s VP Sales & Marketing hosted an IR Website Best Practices webinar. Her presentation focused on how to build investor confidence through effective online communications. The presentation includes a lot of great examples of companies using best practices and how they can be applied to your own IR website.

Lawyers, Anthropologists, and Revolutionaries by Paul Lippe

But now as the changes wrought by technology become ever more pervasive, and as they coincide with the most significant challenge to US global leadership in a Century – the rise of China – we need to think about the anthropology of technology at a societal level, and look at how well core institutions are adapting.

‘Perp Walks’ Undermine Presumption of Innocence by Howard W. Goldstein of Fried, Frank, Harris, Shriver & Jacobson LLP in the New York Law Journal

But the Puritan practice of shaming and today’s perp walks are different in one critical respect. The shamed Puritans had already been convicted; today’s perp walkers have only been arrested and are theoretically cloaked with the presumption of innocence.

Lessons From FCPAscam by Richard Cassin in The FCPA Blog

That’s a Smith and Wesson and you’ve had your six.

~ James Bond to an out-of-ammo assailant in “Dr. No”

Our six shots. Here’s an early look at what the case means: …

Insider Trading … in Mutual Fund Shares? by Bruce Carton for Compliance Week’s Enforcement Action

Today, though, the SEC filed a settled enforcement action charging Charles J. Marquardt with insider trading in the shares of the Evergreen Ultra Short Opportunities Fund (the “Ultra Fund”), a mutual fund that invested primarily in mortgage-backed securities.

A Rare Moment Of Reflection: I Am Privileged To Be A Lawyer by Brian Tannebaum in My Law License

I’m in my 15th year of practice. I’ve walked into courtrooms hundreds of times. I remember thinking after I was admitted to the Bar how great it was that I could “talk in court.” I remember telling people how cool it was that the Florida Supreme Court gave me a license to go into court and represent people. I still think that, but I say it much less.


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