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Compliance Bricks and Mortar for April 11

Charles Ponzi’s former home up for sale by Erin Ailworth For the first time, the butter-colored stucco house with the slate roof and second-story balustrades, is going on the broader real estate market, available to anyone willing to take a run at the $3.3 million asking price. All previous sales have been private. One of […]

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Compliance Bricks and Mortar for April 4

These are some of the compliance-related stories that recently caught my attention. Small Banks Look to Sell as Rules Bite by Michael Rappaport in the Wall Street Journal In a period when low interest rates are squeezing small banks, the costs of adhering to new regulations are taking a toll. Executives from at least a […]

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Compliance Bricks and Mortar for March 28

These are some of the compliance-related stories that recently caught my attention. Encouraging Communication of Employee Concerns by Michael Volkov in Corruption, Crime & Compliance One of the hardest issues for compliance professionals is encouraging employees to raise concerns about ethics and compliance issues.  It has become even more difficult when the government establishes whistleblower […]

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Compliance Bricks and Mortar for March 21

Welcome to Spring. These are some of the recent compliance-related stories that recently caught my attention. Two Thoughts about Dewey LeBoeuf and Parallel Proceedings by David Smyth in Cady Bar the Door In a devastating New York Times story over the weekend, James Stewart zeroed in on that last sentence.  Client relations manager?  Who? Apparently it wasn’t […]

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Compliance Bricks and Mortar for Pi Day

Exploratorium physicist Larry Shaw began celebrating March 14 as pi day for the mathematical constant π, the ratio of a circle’s circumference to its diameter. Behind the Myth of Insider Trading by SEC Employees by Bruce Carton in Compliance Week The authors also point to six specific cases in which “SEC employees appear to front-run […]

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Compliance Bricks and Mortar for March 7

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 […]

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Compliance Bricks and Mortar for February 28

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 […]

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Compliance Bricks and Mortar for February 21

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 […]

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Compliance Bricks and Mortar for February 14

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 […]

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Compliance Bricks and Mortar for January 31

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 […]

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