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Compliance Bricks and Mortar for May 29

These are some of the compliance-related stories that recently caught my attention. Whistleblowers Find SEC Rewards Slow and Scarce by Jean Eaglesham and Rachel Louise Ensign in the Wall Street Journal An SEC spokeswoman declined to say how much money has been collected for any of the 658 enforcement actions the agency’s website lists as […]

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Compliance Bricks and Mortar for May 21

It’s a day early because of the long weekend. If you’re looking to read some other compliance-related stories this weekend, these are some that recently caught my attention. Former SEC Chairman Cox Weighs in on Administrative Proceedings by Bruce Carton in Compliance Week On Wednesday, former SEC Chairman Christopher Cox offered his own interesting perspective […]

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Compliance Bricks and Mortar for May 15

These are some of the compliance-related stories that recently caught my attention. You need to build a wall, brick by brick. Cyberattacks Represent Top Risk, SEC Chief Says by Andrew Ackerman in the Wall Street Journal “One of my major concerns about this area is nearly everybody gets how high-level the risk and priority of […]

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Compliance Bricks and Mortar for May 8

These are some of the compliance-related stories that recently caught my attention: Cyber Insurance: A Pragmatic Approach to a Growing Necessity by John Reed Stark and David R. Fontaine in Cybersecurity Docket To manage this burgeoning yet still nascent threat, just like other routine day-to-day risk and hazards, companies have started to include cybersecurity concerns […]

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Compliance Bricks and Mortar for May 1

These are some of the compliance-related stories that recently caught my attention. Wall Street Pushes Back on Foreign Bribery Probe by Jean Eaglesham, Emily Glazer Ned Levin in the Wall Street Journal The previously unreported campaign by banks goes to the heart of a wide-ranging inquiry into whether they ran afoul of U.S. antibribery laws […]

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Compliance Bricks and Mortar for April 24

These are some of the compliance-related stories that recently caught my attention. Investors Turn to Big Real-Estate Funds by Peter Grant in the Wall Street Journal Investors are pouring more money into real-estate funds than they have since the property bust, but a few giant fund firms are collecting the lion’s share of the spoils. […]

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Compliance Bricks and Mortar for April 17

These are some of the compliance-related stories that recently caught my attention Lions and Tigers and Bears – Certifications, Checklists and Standards by Michael Volkov in Corruption, Crime & Compliance People always look for shortcuts as a weak replacement for efficiency. My concern is that compliance practitioners, vendors, standard setting organizations, and non-profit organizations are […]

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Compliance Bricks and Mortar for April 10

These are some of the compliance-related stories that recently caught my attention. An Eerie Silence by David Kirk in McGuireWood’s The Fraud Board There’s an eerie silence in the world of fraud prosecutions in the UK. A Libor trial is about to start, a FCA land banking prosecution is on trial at Southwark, but with […]

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Compliance Bricks and Mortar for March 27

March Madness! SEC Loses an AP for First Time Since FY 2013 by Bruce Carton in Compliance Week In FY 2014, however, the SEC maintained 100% perfection in its administrative proceedings. The agency reportedly prevailed in every single one of its more than 200 APs in FY 2014, including 14 consecutive victories in cases that […]

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Compliance Bricks and Mortar for March 20

It’s finally Spring. Someday, all of this snow in Boston will melt. Someday. These are some of the compliance-related stories that recently caught my attention. The Fraudster Next Door by Scott Greenfield in Simple Justice Whether an epidemic of white collar crime exists in Utah isn’t clear.  There isn’t much of an epidemic of any […]

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