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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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Compliance Bricks and Mortar for May 6

These are some of the compliance-related stories that recently caught my attention. We Are All Victims… Except Richard Bistrong by Roy Snell in The Compliance & Ethics Blog Richard was a successful international salesman who selected a bad principle… bribery. He stuck to that principle like glue for 10 years. Before he got caught he […]

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Compliance Bricks and Mortar for April 29

I’m back from vacation and have a big stack of compliance-related stories to read. These are some of them. Why Haven’t Bankers Been Punished? Just Read These Insider SEC Emails by Jesse Eisinger in Pro Publica James Kidney, a longtime SEC lawyer, was assigned to take the completed investigation and bring the case to trial. […]

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Compliance Bricks and Mortar for April 15

These are some of the compliance-related stories that recently caught my attention. Am I a Good Compliance Officer? by Kristy Grant-Hart in SCCEs Compliance & Ethics Blog I thought for a long time about a single criterion which could determine whether a person was good or bad at the job. I finally decided that the […]

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Compliance Bricks and Mortar for April 1

These are some of the compliance related stories that recently caught my attention. Valeant may get bank waivers but risks default with SEC and NYSE by Francine McKenna in MarketWatch Valeant Pharmaceuticals International Inc. may get a waiver from its bank lenders to file its Form 10-K annual report and first-quarter report later than required. […]

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Compliance Bricks and Mortar for March 18

These are some of the compliance-related stories that recently caught my attention. Five Questions for Our SEC Commissioner Nominees by Matt Kelly in Radical Compliance How would you strike the balance between investor access to information and companies’ ability to raise capital easily? We have already seen reduced disclosure obligations for newly public companies thanks […]

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Compliance Bricks and Mortar for February 26

These are some of the compliance-related stories that recently caught my attention.   Protecting the Compliance Officer: A Balanced Approach by Michael W. Peregrine in Corporate Counsel From a governance perspective, it matters not that these chief compliance officer (CCO) enforcement actions appear to be narrowly focused in particular industry sectors. Rather, what matters is […]

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Compliance Bricks and Mortar for February 19

These are some of the compliance related stories that recently caught my attention. Private Equity’s Unintended Dark Side by Alexander Ljungqvist, Lars Persson and Joacim Tåg in the CLS Blue Sky Law Blog But what about more long term consequences of buyouts? In a recent paper, we explore whether private equity could, inadvertently, impose a […]

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