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Compliance Bricks and Mortar for March 24

These are some of the compliance-related stories that recently caught my attention. Women in banking To err is human, to get fired for it … female by Tanaya Macheel in American Banker One of the latest studies of gender differences in financial services finds female advisers accused of wrongdoing are 20% more likely to lose […]

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Compliance Bricks and Mortar – St. Patrick’s Day Edition

Since I work in Boston and my office is next to the Black Rose, it’s hard to ignore St. Patrick’s Day. And yes, the Black Rose was already full of drinking patrons at 9:00 am. Getting past all the Irish cheer, these are some of the compliance related stories that recently caught my attention. Super […]

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Compliance Bricks and Mortar for March 10

These are some of the compliance-related stories that recently caught my attention. SEC Reduces Whistleblower Bounty Based On Culpability And Delayed Reporting by Harris Mufson, Steven J. Pearlman and Amy Blackwood in Proskauer Whistleblower Defense On February 28, 2017, in an Order almost entirely devoid of detail, the SEC announced that a whistleblower will receive […]

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Compliance Bricks and Mortar for March 3

These are some of the compliance-related stories that recently caught my attention. Detecting Managed Earnings With CEO Profiles by Tri Nguyen, Chau Duong and Sunitha Narendran in the CLS Blue Sky Blog We offer the PSCORE, a composite grouping of individual characteristics linked with a higher likelihood of earnings management by prior research. We identified […]

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Compliance Bricks and Mortar for February 17

These are some of the compliance-related stories that recently caught my attention. Court to Reconsider Authority of SEC Administrative Law Judges by Dave Michaels and Brent Kendall in the Wall Street Journal The U.S. Court of Appeals for the District of Columbia Circuit said it would reconsider an appeal that argues the SEC’s administrative courts […]

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Compliance Bricks and Mortar for February 10

These are some of the compliance-related stories that recently caught my attention.   WHY SHOULD I GIVE A %$#@! ABOUT OVERSEAS BRIBERY? by Matt Kelly in the FCPA Blog This is on my mind thanks to a recent column in the legal blog Above the Law, “Is Trump the End of FCPA Enforcement?” The author, […]

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Compliance Bricks and Mortar for January 27

These are some of the compliance related stories that recently caught my attention. Trump Gets Subtle Pre-taliation Warning by Matt Kelly in Radical Compliance On Wednesday the Office of Special Counsel issued a reminder that any policies about communications from government employees—like, say, telling them to stop talking about climate change; or to stop talking entirely—must […]

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Compliance Bricks and Mortar for January 20

These are some of the compliance related stories that recently caught my attention. Experts Ponder Role of Trump Organization Compliance Counsel by SAMUEL RUBENFELD in WSJ.com’s Risk & Compliance Journal As compliance counsel, the person’s ethical obligation will be to the organization, not to the president, making the role less robust than retaining an independent […]

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Compliance Bricks and Mortar for December 16

These are some of the compliance-related stories that recently caught my attention. An Insider-Trading Ruling that Delights Prosecutors – And One Manhattan Judge by Roger Parloff in The New Yorker Last week, prosecutors rejoiced when the U.S. Supreme Court decided an insider-trading case called Salman v. United States, and in doing so clarified that leaking […]

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Compliance Bricks and Mortar for December 9

These are some of the compliance related stories that recently caught my attention. Luis Aguilar recalls harrowing times at SEC by Jeff Benjamin in Investment News Mr. Aguilar, who served as an SEC commissioner from July 2008 through December 2015, recalls his first year as being “the most active period with internal restructuring and changes […]

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