Compliance Bricks and Mortar for October 18

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These are some of the compliance-related stories that recently caught my attention.

Wrapping Up My Five-Year Experiment by Kathleen Edmond

Of course, this blog is near and dear to my heart and is among the loose-ends I want to tie up before I go. Over the past five years, I have covered dozens of issues on every relevant topic I could get my hands on. It has been a gratifying experience and I intend to relaunch at some point in the future. However, I will do so from an independent perspective, not as a representative of Best Buy Co., Inc.

In the Crosshairs by Erik Kolb in PERE

With the private funds industry now effectively supervised, US regulators look to be setting their sights on separate accounts. Is their concern really warranted?

The government shutdown in SEC filings in Footnoted

It’s now been two weeks since the government shutdown began. While the number of companies mentioning the crisis in Washington in their routine filings to the SEC can’t quite be described as a thundering roar, we did count about 15 companies that have had something to say about the mess in Washington DC in their filings over the past two weeks.

Social media hot topic at SCCE conference by Aarti Maharaj in Corporate Secretary

One of the hotly debated topics at this year’s annual Society of Corporate Compliance and Ethics (SCCE) Conference was the role social media should play in supporting the compliance and ethics officer. It is now six months since the SEC officially deemed social media a suitable outlet for companies to disseminate material information to investors. But in this new post Dodd-Frank era, compliance officers and corporate governance professionals are still skeptical about the legal obligations and risks associated with using this relatively new medium.

Ethics, Compliance and School Drop-Off Etiquette by Tom Fox

When one parent begins to feel that his or her time is more “Valuable” than another’s that is where the problems begin. Hmmm… let’s see if we can paint this dilemma in a business context. Perhaps there is an industry or global standard designed to ensure workplace safety, clean production of milk powder or even provide a level playing field for conducting global business and winning sales contracts. Once one parent or Company feels that they are above the rest, we start down a slippery slope.

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