These are some of the compliance-related stories that recently caught my attention. Machiavelli for Chief Compliance Officers by Tom Fox in the FCPA Compliance and Ethics Blog Lesson No. 1 – Heed Selected Advice from Selected Advisors While in medieval Florence, the Prince ruled as the supreme monarch, he still needed advisors. Today, we are […]
These are some of the compliance-related stories that recently caught my attention. Are You a “Rat Trader?” by Bruce Carton in Compliance Week Today I stumbled up on the following headline from the Chinese publication, Global Times: ”Rat trader faces 5-10 years for insider dealing.” Rat trader?? It turns out that in China, at least, “rat […]
These are some of the compliance-related stories that recently caught my attention. SEC claims drunk lawyer had insider tipple By Kara Scannell in FT.com The SEC sued Tibor Klein, a New York investment adviser, in September for allegedly buying securities of King Pharmaceuticals after learning from one of his clients that the drug company was […]
These are some of the compliance-related stories that recently caught my attention. New SEC investor advocate says he has investor-protection genes by Mark Schoeff Jr. in Investment News Mr. Fleming will head an office that is responsible for ensuring that the concerns of retail investors are elevated at the commission, as well as at self-regulatory […]
These are some of the compliance-related stories that recently caught my attention. Five Golden Rules of What Works – The Internal Marketing of Compliance by Tom Fox I am attending the ACI Foreign Corrupt Practices Act (FCPA) Boot Camp in Houston. … One of the presentations was on how to tell your compliance story. It […]
It’s been a busy week with guests in the house. I haven’t been able to publish any stories, but these are a few that caught my eye. Finders Are Not Always Keepers! in the Word of Wisdom Blog from Latham & Watkins Capital Markets Group Let’s start with the basics. Section 15(a) of the Exchange […]
It’s been a busy week at the office, but a few compliance-related stories caught my eye. Compliance Networks as Knowledge Networks by Tom Fox As compliance programs mature, they become less top down driven and more inculcated into the DNA of a company. The more doing business ethically and in compliance becomes part of the […]
JP Morgan paid $2 billion in fines and disgorgement for failing to file a suspicious activity report against Bernie Madoff. I provided my two cents. Here are some other views. The invincible JP Morgan by Felix Salmon This is sheer unmitigated — and, yes, probably criminal — incompetence. It takes a very special kind of […]
These are some of the compliance-related stories that recently caught my attention. SEC Enforcement Statistics: A Work in Progress? by Thomas O. Gorman in SEC Actions The SEC released Enforcement Division statistics for government Fiscal Year 2013 along with a table and chart listing the number of actions filed each year as well as the […]
These are some of the compliance-related stories that recently caught my attention. How Financial Institutions May Benefit from Changes to the Rule Against Perpetuities by Reid K.Weisbord in the CLS Blue Sky Blog Now that most jurisdictions have repealed or abrogated the Rule Against Perpetuities, estate planning practitioners have started to consider whether a trust […]
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