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...
Read more »
Compliance Bits and Pieces
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
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 were saying....
Read more »
Compliance Bits and Pieces for March 5
Here are some compliance related stories from the past week:
Setting Off Alarm Bells at Work by Steven D. Levitt on Freakonomics
Apparently, the use of such internet sites is not tolerated by CPS and rather than block those websites altogether, accessing them causes this ear-piercing noise to go off that sounds something like a...
Read more »
Compliance Bits and Pieces for February 26
Here are some interesting compliance related stories from the past week:
List of Troubled Banks at 16-Year Peak, F.D.I.C. Says by Eric Dash in the New York Times
After weathering the nation’s worst run of bank failures in nearly two decades, the Federal Deposit Insurance Corporation announced Tuesday that it had added 450 institutions to its...
Read more »
Compliance Bits and Pieces for February 19
Here are some interesting compliance related stories from the past two weeks. (I reserved last week for my blogoversary.)
Details Emerge on SEC Office of Market Intelligence by Bruce Carton in Compliance Week
One of the first tools that the Securities Exchange Commission launched after it ushered itself into the Internet era in the mid-1990s...
Read more »
Compliance Bits and Pieces for February 5
Here are some interesting stories from the past week:
Can your Broker be your Facebook Friend? by Gil Yehuda on Gil Yehuda’s Enterprise 2.0 Blog
Can brokers set up blogs? What about the comments that people post to their blogs? Can brokers give financial advice on discussion forums? What if a broker sets...
Read more »
Compliance Bits and Pieces for January 29
Here are some interesting stories from the past week:
French Supreme Court Limits the Scope of the Whistleblowing Process by Cecile Martin in the Privacy law Blog
For the first time the French Supreme Court addressed the issue of the validity of a Code of conducts that had been implemented by a listed company (Dassault Systèmes,...
Read more »
Hayek vs. Keynes Rap Anthem “Fear the Boom and Bust”
For you economics geeks, how about a rap duel between John Maynard Keynes and F. A. Hayek?
In Fear the Boom and Bust, John Maynard Keynes and F. A. Hayek, two of the great economists of the 20th century, come back to life to attend an economics conference on the economic crisis. Before the conference...
Read more »
Compliance Bits and Pieces for January 22
Some interesting stories from the past week:
Investor Relations Website Best Practices from the Q4 Blog
On January 14, Catherine Crofton, Q4’s VP Sales & Marketing hosted an IR Website Best Practices webinar. Her presentation focused on how to build investor confidence through effective online communications. The presentation includes a lot of great examples...
Read more »
Obama Wants More Restrictions on Banks
President Barack Obama proposed new rules designed to restrict the size and activities of the U.S.’s biggest banks. The text of his proposal has not been released yet. All we have is the video, embedded below.
The White House wants commercial banks that take deposits from customers to be barred from proprietary trading, owning hedge...
Read more »
Compliance Bits and Pieces for January 15
Here are some interesting compliance, risk and ethics stories from the past week:
Robert Kennedy, the Travel Act and the FCPA by Thomas Fox in Tfoxlaw’s Blog
Robert Kennedy’s contribution is that while Attorney General, he urged Congress to enact the Travel Act in 1961 which was passed as part of the same series of bills...
Read more »
About
Compliance Building is published by Doug Cornelius. Read more in About. Feel free to say to him at his speaking engagements. Upcoming Conferences:
Friend of the North Award
