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Compliance Bricks and Mortar for June 16

I want to clarify my Pay-to-Play and Yard Signs post from earlier this week. I think an early draft of the post was sent through the email system that was incorrect. A senior SEC official clearly stated that yard signs are not limited by the Pay-to-Play Rule and that the speaker who made the statement was […]

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Compliance Bricks and Mortar: Post-Comey Edition

Politics aside, one of the key items I saw in the Comey testimony yesterday was the effect of perception on interactions between a boss and his employees. Mr. Comey said he did “take as a direction” the president’s words to mean he should drop the investigation. That may or may not have been the intention […]

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Compliance Bricks and Mortar Post-Paris Edition

President Trump announced that the United States will withdraw from the Paris Climate Agreement. The U.S. is the world’s second-largest emitter of carbon, with China in the top spot. China affirmed its commitment to meeting its targets under the Paris Climate Agreement and recently canceled construction of 100 coal-fired power plants, with plans to invest billions in […]

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Compliance Bricks and Mortar – Memorial Day Edition

As we pause this weekend to remember those who have fallen while serving the armed forces, these are some of the compliance-related stories that caught my attention recently. No Movie Could Capture the Crazy Details of Bernie Madoff’s Story by GORDON MEHLER AND LARRY H. KRANTZ in The Atlantic Bernie Madoff is back, nearly a […]

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Compliance Bricks and Mortar for May 19

These are some of the compliance-related stories that recently caught my attention. Cybersecurity: Ransomware Alert from SEC’s OCIE Starting on May 12, 2017, a widespread ransomware attack, known as WannaCry, WCry, or Wanna Decryptor, rapidly affected numerous organizations across over one hundred countries. Initial reports indicate that the hacker or hacking group behind the attack […]

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Compliance Bricks and Mortar for May 5

These are some of the compliance-related stories that recently caught my attention. House Panel Approves Plan to Undo Parts of Dodd-Frank Financial Law by Rachel Witkowski The House Financial Services Committee launched a Republican-supported rollback of Obama-era financial regulations, voting 34-26 along party lines Thursday for a plan to undo significant parts of the 2010 […]

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Compliance Bricks and Mortar for April 28

These are some of the compliance-related stories that recently caught my attention. District Court Rules Plaintiff Failed To Plead Real Estate Investment Was A “Security” by Keith Paul Bishop in California Corporate & Securities Law In ruling on the defendants’ motion, Judge Benitez correctly observed that the plaintiff’s securities law claims require that there be […]

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Compliance Bricks and Mortar for April 7

These are some of the compliance-related stories that recently caught my attention. You Need to Know This: YTD Securities Class Action Lawsuit Filings are Off the Charts by Kevin LaCroix in the D&O Diary Securities class action lawsuit filings have been going crazy. Securities suit filings during the first quarter 2017 set a pace that […]

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Compliance Bricks and Mortar for March 31

It’s been a busy week, getting information and drafting for the Form ADV filing. I have a big stack of stories to read and write, but these are some of the compliance-related stories that recently caught my attention. United’s Policy Management Lessons by Matt Kelly in Radical Compliance Compliance officers who want a glimpse of […]

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Compliance Bricks and Mortar for March 24

These are some of the compliance-related stories that recently caught my attention. Women in banking To err is human, to get fired for it … female by Tanaya Macheel in American Banker One of the latest studies of gender differences in financial services finds female advisers accused of wrongdoing are 20% more likely to lose […]

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