These are some of the compliance-related stories that recently caught my attention. White: SEC’s No. 1 priority is more adviser examinations By Mark Schoeff Jr. in Investment News The Securities and Exchange Commission’s top priority is to increase the number of investment adviser examinations it handles every year. How to go about doing that is [...]
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Compliance Bricks and Mortar for May 10
These are some of the compliance-related stories that recently caught my attention. AIFMD Update – US Private Fund Advisers Marketing in the UK in Compliance Avenue Recent news from the UK suggests that these AIFMs have most likely been granted a reprieve until July 22, 2014 to comply with AIFMD in the UK. Earlier this [...]
Compliance Bricks and Mortar – One Heart Boston Edition
One Heart Boston: All proceeds beyond the direct material costs, postage and applicable taxes from the sale of One Heart Boston merchandise will benefit The One Fund Boston, created to raise money to help those families most affected by the tragic events that unfolded during this year’s Boston Marathon. These are some of the compliance-related [...]
Compliance Bricks and Mortar for April 12
These are some of the compliance-related stories that recently caught my attention. Ex-SEC Enforcement Chief Defends ‘Neither Admit or Deny’ Settlements by Emily Chasan is WSJ.com’s CFO Journal “By admitting wrongdoing in the government investigations, which companies might well be prepared to do, they face a great deal of liability on the civil side and, [...]
Compliance Bricks and Mortar for March 29
These are some compliance-related stories that recently caught my attention. Kathleen Edmond of Best Buy Receives ERC’s Carol R. Marshall Award for Innovation in Corporate Ethics Established last year as a posthumous honor to former ERC Board member Carol R. Marshall, the award recognizes a chief ethics and compliance officer for innovation and leadership in [...]
Compliance Bricks and Mortar for March 22
These are some of the compliance-related stories that recently caught my attention. NoDoz: Early Birds Needed to Work at SEC by Bruce Carton in Compliance Week What impact will White will have on the SEC? For one thing, it appears that those at the agency who work closely with the chairman will need to set [...]
Compliance Bricks and Mortar for March 15
The card above comes courtesy of the House Financial Services Committee lamenting the failure to prosecute individuals and companies in the financial industry. Last week Chairman Hensarling and Oversight & Investigations Subcommittee Chairman McHenry sent a letter to Attorney General Holder and Treasury Secretary Lew seeking any and all documents related to the consideration of economic factors in the [...]
Compliance Bricks and Mortar – March 1 Edition
March comes in like a lion and out like a lamb. The same may be true of the SEC when it comes to the 2008 financial crisis and the SEC. This week’s Supreme Court decision in Gabelli v. SEC, means that the SEC has only 5 years after the date of the fraud to bring [...]
Compliance Bricks and Mortar – Russian Meteor Edition
Overnight a huge meteor streaked across the skies of Chelyabinsk, Russia. What does this have to do with compliance? Apparently, Russian drivers regularly use these cameras to fight corruption. BREAKING: Huge Meteor Blazes Across Sky Over Russia; Sonic Boom Shatters Windows by Phil Plait in Bad Astronomy Apparently, at about 09:30 local time, a very [...]
Compliance Bricks and Mortar – Blizzard Edition
I’m bunkered down waiting for a blizzard to unleash its wrath on Boston. While my snowblower is waiting for the flakes to fall from the sky, these are the compliance-related stories I’m reading. ‘Without Wheels’: Sometimes Circumstantial Evidence Can Be Quite Powerful by Bruce Carton in Compliance Week The SEC alleged that Vance learned about [...]
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