Compliance Building

These are some compliance-related stories that recently caught my attention: The Fallout from the Latest NLRB Salvo on Social Media by Daniel Schwartz In Connecticut Employment Law Blog [E]very pronouncement from the NLRB is treated as if it is written in stone with lots of suggestions on how to rewrite all of your policies. The latest was [...]

These are some compliance-related stories that recently caught my attention. Private Equity Bets On Compliance Market With EthicsPoint Deal by Nick Elliott in WSJ.com’s Corruption Currents In a further sign of rising demand for compliance services, private equity firm Riverside Co. has signed a deal to acquire EthicsPoint Inc., which it will merge with its [...]

These are some compliance-related stories that recently caught my attention:   Ponzi Scheme and Investment Fraud Red Flags by Tracy Coenen in the Fraud Files Blog How do you know if you’re considering investing in a Ponzi scheme? The promoters will never come out and tell you they are running a pyramid scheme, so the [...]

These are some of the compliance-related stories that recently caught my attention. Bruce Carton’s “2011: The Year in Enforcement” in Securities Docket 2011 was another difficult year for the Securities and Exchange Commission, even though another Madoff or Stanford-like scandal didn’t emerge to bring new embarrassment. Indeed, the SEC seemed to be under attack from [...]

Here are some compliance-related stories for Friday the 13th: Regulatory Risk Factors in the Carlyle Group S-1 by Seattle lawyer William Carleton. The Carlyle Group is preparing to go public. There are some interesting risk factors in the S-1 registration statement relating to use of leverage in investments, continued control of prior owners following the [...]

These are some compliance-related stories that recently caught my attention: Obeying the Law is Hard by Chris MacDonald in the Business Ethics Blog For businesses, following the law doesn’t exhaust ethical responsibilities, but it’s an awfully good start. Most of us probably think that following the law is absolute minimally-decent behaviour for business. You absolutely [...]

These are some compliance related stories that caught my attention: Dodd-Frank Rules Will Crush Employment, Banks Warn by Paul Sperry for Investors Business Daily Job-killing bank regulations threaten to wipe out all the gains in private-sector employment since the recovery began, the industry warns. Washington, however, is hiring thousands more bureaucrats to enforce the rules. [...]

Here are some recent compliance-related stories that caught my attention. The Enron cast: Where are they now? by Richard Partington in Financial News The leading characters in the Enron saga have had varied fortunes since the disgraced trading giant collapsed into Chapter 11 bankruptcy a decade ago this week. A few went to prison, a [...]

These are some recent compliance related stories that caught my attention: Where the Bribes Are by the James Mintz Group The Foreign Corrupt Practices Act, passed in 1977, has led to more than 200 cases covering activity in about 80 countries. On this map, the darker red that a country appears, the larger the total [...]