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Compliance Bricks and Mortar for April 29

I’m back from vacation and have a big stack of compliance-related stories to read. These are some of them. Why Haven’t Bankers Been Punished? Just Read These Insider SEC Emails by Jesse Eisinger in Pro Publica James Kidney, a longtime SEC lawyer, was assigned to take the completed investigation and bring the case to trial. […]

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Compliance Bricks and Mortar for April 15

These are some of the compliance-related stories that recently caught my attention. Am I a Good Compliance Officer? by Kristy Grant-Hart in SCCEs Compliance & Ethics Blog I thought for a long time about a single criterion which could determine whether a person was good or bad at the job. I finally decided that the […]

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Compliance Bricks and Mortar for April 1

These are some of the compliance related stories that recently caught my attention. Valeant may get bank waivers but risks default with SEC and NYSE by Francine McKenna in MarketWatch Valeant Pharmaceuticals International Inc. may get a waiver from its bank lenders to file its Form 10-K annual report and first-quarter report later than required. […]

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Compliance Bricks and Mortar for March 18

These are some of the compliance-related stories that recently caught my attention. Five Questions for Our SEC Commissioner Nominees by Matt Kelly in Radical Compliance How would you strike the balance between investor access to information and companies’ ability to raise capital easily? We have already seen reduced disclosure obligations for newly public companies thanks […]

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Compliance Bricks and Mortar for February 26

These are some of the compliance-related stories that recently caught my attention.   Protecting the Compliance Officer: A Balanced Approach by Michael W. Peregrine in Corporate Counsel From a governance perspective, it matters not that these chief compliance officer (CCO) enforcement actions appear to be narrowly focused in particular industry sectors. Rather, what matters is […]

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Compliance Bricks and Mortar for February 19

These are some of the compliance related stories that recently caught my attention. Private Equity’s Unintended Dark Side by Alexander Ljungqvist, Lars Persson and Joacim Tåg in the CLS Blue Sky Law Blog But what about more long term consequences of buyouts? In a recent paper, we explore whether private equity could, inadvertently, impose a […]

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Compliance Bricks and Mortar for February 12

These are some of the compliance-related stories that recently caught my attention. CFTC Can’t Give Whistleblower Money Away by Jean Eaglesham in the Wall Street Journal Since its Whistleblower Program was launched in 2011, the Commodity Futures Trading Commission has spent more on administrative costs than it has paid out in bounties, according to a […]

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Compliance Bricks and Mortar For February 5

These are some of the compliance-related stories that recently caught my attention. The Most Thankless Job on Wall Street Gets a New Worry: Recent enforcement actions find compliance officers personally liable by Emily Glazer in the Wall Street Journal Those officers on Wall Street in charge of ensuring that traders and other employees stay on […]

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Compliance Bricks and Mortar for January 29

These are some of the compliance-related stories that recently caught my attention.   U.S. Banks Cut Off Mexican Clients, as Regulatory Pressure Increases by Rachel Louise Ensign, Emily Glazer and Amy Guthrie in the Wall Street Journal At issue are correspondent-banking relationships that allow Mexican banks to facilitate cross-border transactions and meet their clients’ needs […]

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Compliance Bricks and Mortar for January 22

These are some of the compliance related stories that recently caught my attention. Corporate Disclosure, Social Policy, and Dirty Pool by Matt Kelly in Radical Compliance [L]et’s use the Conflict Minerals Rule as the flagship example of a much broader bad idea in Dodd-Frank—using federal securities law to force social policy on corporations. Because as […]

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