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 [...]
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Compliance Bits and Pieces for November 4
Here are some compliance-related stories that recently caught my attention: How Trustworthy Are You? from the Trusted Advisor A summary infographic on five questions from the Trust Quotient self-assessment Investigation Nation: SEC Employees and Inspector General Play Cat-and-Mouse by Bruce Carton in Compliance Week’s Enforcement Action A group called Citizens for Responsibility and Ethics in [...]
Compliance Bits and Pieces for October 28
These are some compliance-related stories that caught my attention recently: The Role of Compliance and Ethics in Risk Management by Bruce Carton in Compliance Week’s Enforcement Action Carlo V. di Florio, director of the SEC’s office of compliance inspections and examinations, recently spoke at the National Society of Compliance Professionals’ National Meeting held in Baltimore, [...]
Compliance Bits and Pieces for October 21
These are some compliance-related stories that recently caught my attention: The Abacus Sign by Felix Salmon It’s funny, on the sign — something true, and accurate, and touching, and grammatical, and far too long to be a slogan, and gloriously bereft of punctuation, and ending even more gloriously in a mildly archaic preposition. Friedersdorf has [...]
Compliance Bits and Pieces for October 14
These are some compliance-related stories that recently caught my attention: A Study of Individual Liability under the Foreign Corrupt Practices Act (.pdf 6 pages)By M. Scott Peeler of Chadbourne & Park LLP In this Special Report, Scott Peeler reviews lessons and patterns from his review of government initiated civil and criminal FCPA cases filed against [...]
Compliance Bits and Pieces for October 7
These are some compliance-related stories that recently caught my eye: How Well Do Financial Markets Separate News from Noise? Evidence from an Internet Blooper by Carlos Carvalho, Nicholas Klagge, and Emanuel Moench in Liberty Street Economics How efficiently do financial markets process news of unexpected events? This question becomes particularly salient now, as multiple events [...]
Compliance Bits and Pieces for September 30
These are some compliance-related stories that recently caught my eye: “Is there anything connected with this accelerator that involves the security of the country?” by Chris Yeh in Adventures in Capitalism “It has only to do with the respect with which we regard one another, the dignity of man, our love of culture. It has [...]
Compliance Bits and Pieces for September 23
These are some compliance related stories that recently caught my attention: Forgotten Bookmarks: Investment in Reading Pays Off by Michael Popek in Forbes I come across a lot of interesting items left behind in books, but I’d say that most of them don’t interest Forbes readers all that much. I hope this find will pique [...]
Compliance Bits and Pieces for September 16
Here are some recent compliance related stories that caught my attention: How do You Evaluate a Risk Assessment? by Tom Fox What is the amount of risk that your company is willing to accept? Before you even get to this question how does your company assess risk and subsequently evaluate that risk? CEO pushes Reg [...]
Compliance Bits and Pieces for September 9
These are some compliance-related stories that recently caught my eye: JP Morgan explains the euro crisis with LEGO/a> by Feliz Salmon The woman with an oversized carrot and her friend in overalls with a shovel represent the Social Democrats and Greens. Anti-Corruption Research Paper Competition Open for Submissions We are asking young scholars from around [...]
