Compliance Bits and Pieces

Compliance Bits and Pieces for March 12

Friday, March 12th, 2010 at 8:00 am

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....
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Compliance Bits and Pieces for March 5

Friday, March 5th, 2010 at 8:00 am

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...
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Compliance Bits and Pieces for February 26

Friday, February 26th, 2010 at 8:00 am

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...
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Compliance Bits and Pieces for February 19

Friday, February 19th, 2010 at 8:00 am

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...
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Compliance Bits and Pieces for February 5

Friday, February 5th, 2010 at 8:00 am

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...
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Compliance Bits and Pieces for January 29

Friday, January 29th, 2010 at 8:00 am

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,...
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Hayek vs. Keynes Rap Anthem “Fear the Boom and Bust”

Wednesday, January 27th, 2010 at 9:14 am

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...
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Compliance Bits and Pieces for January 22

Friday, January 22nd, 2010 at 8:00 am

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...
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Obama Wants More Restrictions on Banks

Thursday, January 21st, 2010 at 3:34 pm

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...
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Compliance Bits and Pieces for January 15

Friday, January 15th, 2010 at 8:00 am

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...
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