Category: Compliance Bricks and Mortar

Compliance Bricks and Mortar for January 12

These are some of the compliance-related stories that recently caught my attention. Five Things to Think About Before a Surprise SEC Exam by Joshua M. Newville, Robert E. Plaze, Christopher Wells and Alexandra V. Bargoot If a team from the SEC arrives at your office and says, “We are conducting an on-site examination and would

Compliance Bricks and Mortar – Blizzard Edition

I’ve just come inside after digging out from yesterday’s blizzard. These are some of the compliance-related stories I’m going to read by the fire. Is Bitcoin Really in a Bubble? in Knowledge@Wharton [T]he cryptocurrency community is divided on whether bitcoin is a “side show or the show.” However, he believes that the “fundamental breakthrough is

Compliance Bricks and Mortar for December 22

These are some of the compliance stories that recently caught my attention. American Law Enforcement’s Focus on Cooperation and Self-Reporting by Lee S. Richards More recently, law enforcement officials, anxious to improve the effectiveness of their programs, have placed even greater emphasis on the need for companies to rush in to disclose problems they have

Compliance Bricks and Mortar for December 8

These are some of the compliance-related stories that recently caught my attention. ICO Enforcement Actions Threatened, ICO Lawsuits Proliferate By Kevin LaCroix According to the latest update on the Coinschedule website (here), there have been a total of 228 initial coin offerings so far this year through mid-October, raising a total of over $3.6 billion. At least

Compliance Bricks and Mortar – #OptOutside

Instead of shopping (or working), I’m off on a bike ride. If you are looking for something compliance-related to read, here are few stories that recently caught my attention. Stock Trades of SEC Employees by Shivaram Rajgopal (Columbia Business School) and Roger M. White (Arizona State University) In March 2009, H. David Kotz, then Inspector

Compliance Bricks and Mortar for November 17

These are some of the compliance-related stories that recently caught my attention. Closing the Door on “Broken Windows” – What Does It Mean for Private Fund Sponsors? by David Wohl So do these new priorities, combined with the announced reduction of SEC enforcement staff by as much as 7%, herald a more “hands off” approach

Compliance Bricks & Mortar for November 10

These are some of the compliance-related stories in my reading list. Your General Counsel is Your CECO? Really? by Joseph E. Murphy There continues to be controversy about whether a company’s general counsel should also be the CECO, especially at large companies. Putting aside the question of whether this is a good idea, however, I

Compliance Bricks and Mortar for November 3

These are some of the compliance-related stories that recent caught my attention. Yes! Compliance Goes Hollywood! by Matt Kelly in Radical Compliance Compliance officers, rejoice! The fame and recognition so long denied to you may finally be at hand! The FX network has commissioned the pilot for a new TV series STARRING A COMPLIANCE OFFICER!!! It

Compliance Bricks and Mortar for October 27

These are some of the compliance-related stories that recently caught my attention SEC Names Peter B. Driscoll as Director of the Office of Compliance Inspections and Examinations Mr. Driscoll was named as OCIE’s first Chief Risk and Strategy Officer in March 2016 after previously serving as OCIE’s Managing Executive from February 2013 through February 2016.

Compliance Bricks and Mortar for October 20

These are some of the compliance-related stories that recently caught my attention. 6 Trends in AML Compliance by Ambreesh Khanna Anti-money laundering regulations (AML), including Know Your Customer (KYC) requirements, are hardly a new concept in the world of financial services. Over the years, financial institutions have largely mastered the mechanics of compliance. There is,