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Compliance Bricks and Mortar for September 19

These are some of the compliance-related stories that recently caught my eye. The NFL’s True Problem: Misplaced Priorities Trumping Ethics & Compliance by Matt Kelly in Compliance Week Contrary to what you might believe lately, the National Football League does have an ethics & compliance program. What’s more, the program actually looks pretty good. Except, […]

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Compliance Bricks and Mortar for September 12

These are some of the compliance-related stories that recently caught my attention. Let’s Get This Straight, A URL Is Not An Address (At Least In This Case) by Keith Paul Bishop in California Corporate and Securities Law The tenant argued that the notice was defective because it included a URL (uniform resource locator) address rather […]

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Compliance Bricks and Mortar for September 5

These are some of the compliance-related stories that recently caught my attention. Fantasy Football: A Real and Present Danger to the Workplace? by Daniel Schwartz in Connecticut Employment Law Blog So to answer my own question in the title: No, fantasy football is not a critical threat to your business. But sometimes, fantasy football can […]

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Compliance Bricks and Mortar for August 22

  These are some of the compliance related stories that recently caught my attention. Ebola tragedy is also a story of graft by Richard L. Cassin in the FCPA Blog One reason the fatality rate is so high — up to 90% in some regions, according to WHO — is because intensive care facilities are needed […]

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Compliance Bricks and Mortar for August 15

GPs look for ‘sweet spot’ on co-investment disclosures by Nicholas Donato in Private Funds Management Part of the SEC’s thinking is that co-investments are being used as marketing tools – so some investor protection is needed to ensure that promises made during fundraising are being fulfilled. Inspectors apparently want to see that every prospective LP […]

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Compliance Bricks and Mortar for August 8

These are some of the compliance-related stories that recently caught my attention. Lawyers as SEC Enforcement Targets, What a Fund Manager Needs to Know by Jay B. Gould in the Investment Fund Law Blog In a move that should place securities lawyers and their clients on notice, Commissioner Kara Stein of the Securities and Exchange […]

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Compliance Bricks and Mortar for August 1

These are some of the other stories that recently caught my attention. Tips for finding the dirt during due diligence on funds, managers by Liz Skinner in Investment News Advisers who can describe an exhaustive process of researching the people and firms they recommend their clients invest with stand to gain the trust and confidence […]

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Compliance Bricks and Mortar for July 25

These are some of the compliance-related stories that recently caught my attention. What an Employment Lawyer Can Learn From Minecraft (or Not) by Daniel Schwartz in the Connecticut Employment Law Blog Minecraft is teaching a whole generation of “kids” (and not so “kids”) about the value of teamwork in a corporate culture. Moreover, there is […]

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Compliance Bricks and Mortar for July 18

Book de Tour by Greig Leach These are some of the compliance-related stories that recently caught my attention. Big Settlements Elevate Compliance Officers in WSJ.com’s Risk & Compliance Journal Recent white-collar settlements are case studies in how compliance officers are ignored, circumvented and sidelined. But that’s likely having the effect of giving these staffers more […]

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Compliance Bricks and Mortar for July 11

These are some of the compliance-related stories that recently caught my attention. Firms Withdraw as MAs Ahead of Final Rule by Kyle Glazer in The Bond Buyer Nathan Howard, an attorney who works with municipal advisors, said the many withdrawals are the result of guidance that has made it more clear who is likely to […]

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