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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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Compliance Bricks and Mortar for June 27

These are some of the compliance-related stories that recently caught my attention. A Committee of Fund Manager Personnel May Not Be Able to Provide the Requisite Consent on Behalf of the Fund for a Principal Transaction by Steve Ganis in Securities Litigation & Compliance Matters So what constitutes sufficient consent for a principal transaction or […]

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Compliance Bricks and Mortar for June 13

These are some of the compliance related stories that recently caught my attention. Thinking About the Applicability of SOX Whistleblower Protection to Private Company Employees by Kevin LaCroix in the D&O Diary Since their 2002 enactment, the whistleblower protections in Section 806 of the Sarbanes-Oxley Act have been presumed to apply only to employees of […]

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Compliance Bricks and Mortar for June 6

These are some of the compliance-related stories that recently caught my attention. The key to hedge-fund riches: your retirement dollars by Timothy Spangler in The Guardian First, there is the misconception that “there are no restrictions on what they can invest in.” This is true. They can invest the same way Sir Richard Branson or […]

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Compliance Bricks and Mortar for May 30

These are some of the compliance-related stories that recently caught my attention: Cybersecurity Crackdown in ThinkAdvisor Think that your firm is too small or that your cyberdefenses are too strong to worry about digital attacks on your firm’s—and your clients’—data? The SEC and FINRA don’t think so. A reading of the regulators’ official announcements and […]

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Fees, Expenses and the S.E.C.

Andrew Bowden threw a grenade at the private fund industry three weeks ago when he spoke at PEI’s Private Fund Compliance Forum. He said that the SEC found violations of law or material weaknesses in over 50% of the exams they had conducted of private equity funds when it came to fees and expenses. Mr. […]

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Compliance Bricks and Mortar for May 23

These are some of the compliance-related stories that recently caught my attention. SEC Enforcement Director: What Empowered Compliance Looks Like by Jaclyn Jaeger in Compliance Week “Companies that have done well in avoiding significant regulatory issues typically have prioritized legal and compliance issues and developed a strong culture of compliance across their business lines,” said […]

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Compliance Bricks and Mortar for May 9

These are some of the compliance-related stories that recently caught my attention. Image of Brick production in Songea, Tanzania is by Egbert SEC Says Dodd-Frank’s Statute of Limitations Doesn’t Apply to It by Ernest Badway in Securities Compliance Sentinel According to the SEC, the Dodd-Frank Act does not require the SEC to bring an enforcement […]

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Compliance Bricks and Mortar for May 2

These are some of the compliance-related stories that recently caught my attention. Kara Stein Takes On Mary Jo White in the Corporate Crime Reporter In a 3 to 2 decision last week, Mary Jo White joined the SEC majority and overturned the automatic disqualification of the Royal Bank of Scotland from eligibility as a Well-Known […]

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