What better way to ensure compliance than to have an eye watching you while you work? What better eye than the ultimate evil eye of Sauron?
Eye of Sauron for Compliance
- LRN’s 2014 Ethics and Compliance Program Effectiveness Report
- Meet the SEC Whistleblowers
- How Do You Exit a Ponzi Scheme?
- Weekend Reading: Busted
- Compliance Bricks and Mortar for July 25
- Money Market Fund Reform Makes My Head Hurt
- Compliance Failures and Performance Measure
- Compliance and Dodd-Frank at Four
- Compliance Bricks and Mortar for July 18
- Jack Ryan: Shadow Recruit
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Dodd-Frank’ed Real Estate
The Dodd-Frank law brought many real estate private equity firms into the world of the Investment Advisers Act. These are some key stories on the topic: