Yes? Then you have probably already read at least part of Trust Agents: Using the Web to Build Influence, Improve Reputation, and Earn Trust, the new book from Chris Brogan and Julien Smith. Most likely, you are wondering what a “Trust Agent” is supposed to be. “Trust agents have established themselves as being non-sales-oriented, non-high [...]
Archive | January, 2010
Enterprise 2.0 Conference: Session Proposals
The Enterprise 2.0 Conference is coming back to Boston on June 14-17. They are letting attendees vote on the sessions. This is a great way for the conference organizers to take advantage of 2.0 tools in organizing the conference. I am part of two panels, if they get approved. If either of them interest you, [...]
Compliance Bits and Pieces for January 8
Here are some interesting stories from the past week: BAE Bribe Suit Tossed On Appeal from The FCPA Blog The decision is a big win for BAE (and all U.K. companies threatened with shareholder litigation in the U.S.). But it’s another setback for plaintiffs who bring claims based on allegations that, if true, would violate [...]
Public Companies Fail to Disclose Ethics Waivers
According to Usha Rodrigues from University of Georgia Law School and Mike Stegemoller from Texas Tech University – Rawls College of Business, in their paper Placebo Ethics, public companies are failing to disclose ethics waivers. They focused on Section 406 of Sarbanes-Oxley which requires public companies to disclose when they have granted an ethics waiver [...]
2009 Year-End FCPA Update
In case you missed it, 2009 was full of FCPA enforcement actions and trials. The Department of Justice and Securities and Exchange Commission worked hand in hand over the past year bringing actions for FCPA violations. They set a record by bringing more FCPA prosecutions during 2009 than in any prior year in the FCPA’s [...]
New Massachusetts Lobbying Law is now in Effect
In mid-2009, the Massachusetts Legislature was rocked by the highly public federal indictments of a state senator and speaker of the Massachusetts House. In response, the legislature passed a sweeping overhaul of its campaign finance, lobbying and government ethics laws. There are new rules in the Commonwealth that went effective on January 1. (Massachusetts is [...]
Custody of Funds or Securities of Clients by Investment Advisers
The SEC released the final version of its new custody rule (.pdf). The Commissioners had announced their approval of the rule on December 17 and then released the final text on December 30. The rule goes into effect 60 days after publication in the Federal Register. The amendments are designed to provide additional safeguards under [...]
Whales and Compliance
I was surprised to be thinking about compliance while I was reading about whales. Sure, I eat, drink and sleep compliance. But there are some lessons that compliance professionals can learn from the study of whales. This came up while I was reading Watching Giants: The Secret Lives of Whales by Elin Kelsey. My original [...]
Darth Vader and the New York Stock Exchange
Is this going to improve the image of the stock market? Darth Vader ringing the opening bell at the NYSE?! Lucasfilm Ltd. Brings the Force to the New York Stock Exchange This Holiday Season – press release After more than 30 years, Star Wars maintains its position as the #1 selling licensed toy property in [...]
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