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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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Compliance Bricks and Mortar for January 16

These are some of the compliance-related stories that recently caught my attention. RBS Loses Senior Compliance Staff, Some Poached by HSBC by Margot Patrick And Rachel Louise Ensign in the Wall Street Journal The departures come as RBS, 80%-owned by the British government, faces a potential multibillion-dollar settlement with the Federal Housing Finance Agency over […]

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Compliance Bricks and Mortar for January 9

These are some of the compliance-related stories that recently caught my attention. Majority of RIAs should move under state regulation: Study by Mark Schoeff Jr. in InvestmentNews Shifting oversight of more registered investment advisers from the Securities and Exchange Commission to states would increase exam coverage at less cost than establishing third-party reviewers, a new […]

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Compliance Bricks and Mortar for December 12

These are some of the compliance-related stories that recently caught my attention. Mark Cuban vs. The SEC in WealthManagement.com The only way to reform what ails the Securities and Exchange Commission is to “burn it down and start again,” says Mark Cuban, billionaire entrepreneur, host of the television show “Shark Tank,” and the owner of […]

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