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Compliance Bricks and Mortar for January 20

These are some of the compliance related stories that recently caught my attention. Experts Ponder Role of Trump Organization Compliance Counsel by SAMUEL RUBENFELD in WSJ.com’s Risk & Compliance Journal As compliance counsel, the person’s ethical obligation will be to the organization, not to the president, making the role less robust than retaining an independent […]

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Compliance Bricks and Mortar for December 16

These are some of the compliance-related stories that recently caught my attention. An Insider-Trading Ruling that Delights Prosecutors – And One Manhattan Judge by Roger Parloff in The New Yorker Last week, prosecutors rejoiced when the U.S. Supreme Court decided an insider-trading case called Salman v. United States, and in doing so clarified that leaking […]

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Compliance Bricks and Mortar for December 9

These are some of the compliance related stories that recently caught my attention. Luis Aguilar recalls harrowing times at SEC by Jeff Benjamin in Investment News Mr. Aguilar, who served as an SEC commissioner from July 2008 through December 2015, recalls his first year as being “the most active period with internal restructuring and changes […]

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Compliance Bricks and Mortar for December 2

These are some of the compliance related stories that recently caught my attention. Trump Risk Factors Begin to Appear in SEC Documents by Steve Quinlivan in Dodd-Frank.com Risk factors related to uncertainties resulting from possible policies that may be implemented by President-elect Trump have begun to appear in SEC filings: TPI Composites, Inc. Form 10-Q: […]

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Compliance Bricks and Mortar for November 18

These are some of the compliance-related stories that caught my attention this week. Four Companies to Watch for ‘Trump Risk’ by Matt Kelly in Radical Compliance Last week two companies became the first public filers to cite the incoming Trump Administration as a risk worth disclosing in the Risk Factors section of their quarterly reports. […]

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Veterans Day Compliance Bricks and Mortar

Please remember to those who have served in the armed forces for the sacrifices they have made. Below are some of the compliance-related stories that caught my attention. Donald Trump’s Transition Team: We Will ‘Dismantle’ Dodd-Frank in the Wall Street Journal The brief note on Mr. Trump’s new website marked the first time since Tuesday’s election […]

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Compliance Bricks and Mortar for September 23

We have passed the Autumnal equinox and are heading into the dark nights of winter. Maybe some of these of compliance-related stories will keep you awake during the longer nights. Why Don’t General Counsels Stop Corporate Crime? by Sureyya Burcu Avci and H. Nejat Seyhun in the HLS Forum on Corporate Governance and Financial Regulation […]

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Compliance Bricks and Mortar for September 16

These are some of the compliance-related stories that recently caught my attention. Wells Fargo CEO Defends Bank Culture, Lays Blame With Bad Employees by Emily Glazer and Christina Rexrode in the Wall Street Journal He later said through a spokeswoman that when the bank falls short “I feel accountable and our leadership team feels accountable—and […]

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Compliance Bricks and Mortar for September 9

These are some of the compliance-related stories that recently caught my attention. Whistle-Blowing Insiders: ‘Game Changer’ for the S.E.C. by Peter Henning in DealB%k Since the program’s creation in 2011, the S.E.C. has received more than 14,000 tips, including almost 4,000 last year. That number falls well short of the original estimate of 30,000 submissions each […]

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Compliance Bricks and Mortar for September 2

These are some of the compliance-related stories that recently caught my attention. Maybe you need something to read over Labor Day Weekend? Conflicted Feelings About Conflict Minerals by Matt Kelly in Radical Compliance Don’t die of shock, but a new government report finds that compliance with the Conflict Minerals Rule is still sputtering. That’s the […]

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