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Compliance Bricks and Mortar for July 22

These are some of the compliance-related stories that recently caught my attention. World’s 20 biggest banks rack up £252bn ‘conduct costs’ in five years by Sean Farrell in the Guardian The cost of fines, legal bills and customer compensation racked up by the world’s 20 biggest banks over the five years to the end of […]

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Compliance Bricks and Mortar for July 8

These are some of the compliance-related stories that recently caught my attention. One Thought on Blockchain in Money Compliance Blockchain could make AML obsolete, in theory. Blockchain is the decentralized database system that allows for recordkeeping of transactions nearly impossible to fake. And because of it, it sort of creates a world that is zero […]

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Compliance Bricks and Mortar – Canada Day Edition

Today marks the joining of the British North American colonies of Nova Scotia, New Brunswick, and the Province of Canada into a federation of four provinces on July 1, 1867. These are some compliance-related stories that caught my attention recently, even though they have nothing to do with Canada. BREXIT and Compliance by Jonathan Armstrong […]

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Compliance Bricks and Mortar for the Brexit

These are some of the compliance-related stories that caught my attention while waiting for the results from the Brexit vote. BEST PRACTICES FOR TODAY’S CCO by Julie DiMauro in the FCPA Blog In addition to knowing their regulatory-reporting obligations, compliance officers should understand what their managers do, what products and services their company offers and the systems […]

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Compliance Bricks and Mortar for June 17

These are some of the compliance related questions that recently caught my attention. Power plants are no longer America’s biggest climate problem. Transportation is. by Brad Plumer in Vox Here’s an important energy milestone: For the first time since 1979, America’s cars, trucks, and airplanes emit more carbon dioxide than its power plants do. … But […]

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Compliance Bricks and Mortar for June 10

These are some of the compliance related stories that recently caught my attention. U.S. Offers Rare Account of Why It Didn’t Pursue Bribery Charges by Samuel Rubenfeld in WSJ.com’s Risk & Compliance Journal As the Securities and Exchange Commission announced it reached non-prosecution agreements in two unrelated foreign-bribery cases, the U.S. Justice Department took the […]

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Compliance Bricks and Mortar for June 3

These are some of the compliance related stories that recently caught my attention. How the Feds Pulled Off the Biggest Insider-Trading Investigation in U.S. History by Patricia Hurtado & Michael Keller in Bloomberg For more than seven years, the U.S. government has relentlessly prosecuted Wall Street traders who used inside information to rake in hundreds […]

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Compliance Bricks and Mortar for May 27

These are some of the compliance-related stories that recently caught my attention. Up Close and Personal: Individual CCO Liability – Part I by Tom Fox in FCPA Compliance & Ethics For when should a CCO have liability and should the regulators, whether in the financial services industry or in the broader anti-corruption world of the […]

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Compliance Bricks and Mortar for May 20

These are some of the compliance-related stories that recently caught my attention. Compliance Goes to School by Geoffrey Parsons Miller In my view there is no one “right” answer to the question of where compliance fits in a law school’s curriculum, just as there is no “one-size-fits-all” compliance program. A good model, however, is that […]

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Compliance Bricks and Mortar for May 13

These are some of the compliance-related stories that recently caught my attention. Stop Faxing by David Smyth in Cady Bar the Door The problem was the same as with all faxes: nobody wants them. They want emails instead. So when the firm set up an electronic faxing service, they added an extra step in the […]

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