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Compliance Bricks and Mortar for March 27

March Madness! SEC Loses an AP for First Time Since FY 2013 by Bruce Carton in Compliance Week In FY 2014, however, the SEC maintained 100% perfection in its administrative proceedings. The agency reportedly prevailed in every single one of its more than 200 APs in FY 2014, including 14 consecutive victories in cases that […]

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Compliance Bricks and Mortar for March 20

It’s finally Spring. Someday, all of this snow in Boston will melt. Someday. These are some of the compliance-related stories that recently caught my attention. The Fraudster Next Door by Scott Greenfield in Simple Justice Whether an epidemic of white collar crime exists in Utah isn’t clear.  There isn’t much of an epidemic of any […]

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Compliance Bricks and Mortar for March 13

These are some of the compliance-related stories that recently caught my attention. Protections for CCOs from Wrongful Termination by Tom Fox in the FCPA Compliance and Ethics Blog You can consider the departure from MF Global of its Chief Risk Officer, the financial services equivalent of a CCO. As reported in a New York Times […]

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Compliance Bricks and Mortar for March 6

These are some of the compliance-related stories that recently caught my attention. Compliance Leadership and “The Grey Area” by Roy Snell in SCCE’s The Compliance & Ethics Blog When people sit in a room, especially under stress, after finding a potential problem, they tend to try to broaden the definition of the law rather than […]

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Compliance Bricks and Mortar for February 27

These are some of the compliance-related stories that recently caught my attention. SEC Commissioners Push Lifetime Bans on Executives by Joel Schectman in WSJ.com’s Risk & Compliance Journal The U.S. Securities and Exchange Commission is divided over whether it should impose severe restrictions on banks and their executives who break securities rules. For top executives, […]

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Compliance Bricks and Mortar for February 20

It’s been a tough week in Boston dealing with the historic level of snow. As of February 17, the snow depth near Boston was greater than in all but two reported locations in Alaska. It was significantly higher than the notoriously snowy states of Michigan, Wisconsin, and Minnesota. Only Buffalo, New York, had a higher […]

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Compliance Bricks and Mortar for February 13

These are some of the compliance-related stories that recently caught my attention. The S.E.C.’s Hazy Approach to Crime and Punishment by Peter J. Henning in NY Times.com’s DealBook In Gilbert and Sullivan’s “The Mikado,” a line expresses the need “to let the punishment fit the crime.” The Securities and Exchange Commission is struggling with that […]

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Compliance Bricks and Mortar for February 6

These are some of the compliance-related stories that recently caught my attention. Alstom Gets Break on Fine by Rachel Louise Ensign and Ted Mann in the Wall Street Journal When the U.S. Justice Department announced a record $772 million foreign-bribery settlement with Alstom SA in December, there was a hitch: The French engineering company couldn’t […]

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Compliance Bricks and Mortar for January 30

I have finally dug myself out from the 2+ feet of snow that buried me this week. These compliance-related stories caught my eye in between snow shoveling sessions. SEC Co-Chief of Division of Enforcement’s Asset Management Unit Identifies 2015 Exam Priorities for Hedge and Private Equity Funds in the National Law Review On November 18, […]

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Compliance Bricks and Mortar for January 23

These are some of the compliance-related stories that recently caught my attention. Equity Crowdfunding: A Market for Lemons? by Darian M. Ibrahim in the CLS Blue Sky Blog Before reaching the more difficult Title III, I reveal that the less-radical Title II, which allows general solicitation of accredited investors, seems to have proven successful for […]

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