With Toyota’s problems all over the news, I started to think about whether compliance and ethics professionals could learn anything from these problems. To begin, I don’t think there is a systemic problem with their vehicles or with the company. I think the sudden acceleration problem is bunk. Yes, I own a Toyota, but my [...]
Archive | March, 2010
MoFo2Go
Do I care if my law firm has an iPhone App? As client, I care about my law firms delivering useful information to me. Kevin O’Keefe says your law firm should forget about building an iPhone App. Morrison & Foerster didn’t heed his advice and created MoFo2Go, an iPhone app. iPhone App versus Mobile View [...]
Compliance Bits and Pieces for March 12
Here are some compliance stories from the past week that I found interesting: Shadowing a Swindler by Richard Tofel His review of the Harry Markopolos book: No One Would Listen [N]early all the whistleblowers she had met shared two qualities. First, they were onto something—that is, there was at least some truth to what they [...]
Upcoming Appearances and Conferences
For those of you stalking me or trying to find out when my house is empty, here are some places I will be this spring: Mark Fryenburg asked back to his speak to his class: CS 299 Web 2.0: Technology, Strategy, Community. I’m going to tackle personal knowledge management. After all, that is the reason [...]
Consumer Complaints and Fraud
I occasionally like to look at consumer fraud complaints to see if I can learn any lessons for corporate compliance.On the consumer side there is tremendous volume of complaints and many parties trying to help. It caught my eye when four different organizations got together to identify the top consumer complaints for 2009. Here are [...]
The Problem with Selective Disclosure
If you want to see a classic case of the problems with selective disclosure take a look at the recent SEC case against Presstek, Inc. and its former CFO. Presstek was having a bad quarter in 2006. The CFO knew that the company would be reporting bad financial performance for the quarter. The CFO told [...]
New Codes of Conduct for Real Estate Companies
It’s always useful to look at what your competition is doing. The same is true in drafting your code of conduct (or code of ethics or whatever name you chose). It is useful to look at you what your competitors’ codes of conduct look like. Since Sarbanes-Oxley requires a public company to have a code [...]
New Anti-Money Laundering Guidance
Money Laundering is bad and financial institutions need to have internal controls policies, procedures and processes to identify higher-risk accounts and monitor the activity. At the core of an anti-money laundering program is that an institution must know its customers and the risks presented by its customers. The program becomes more difficult when the customer [...]
National Consumer Protection Week
National Consumer Protection Week 2010 is March 7-13. Take advantage of the FTC’s free resources, which can help you protect your privacy, manage money and debt, avoid identity theft, understand credit and mortgages, and steer clear of frauds and scams. This year’s theme is Dollars & Sense: Rated “A” for All Ages. The idea is [...]
Weekend Book Review: Shades of Grey by Jasper Fforde
Books about compliance, business ethics, law and financial markets can be well written, interesting and thought-provoking. But they’re not fun. So I decided I needed change and found a whimsically absurd novel that touches upon compliance: Shades of Grey, by Jasper Fforde. Chromatacia is a world where people have limited ability to see color and [...]
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