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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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Compliance Bricks and Mortar for December 5

These are some of the compliance-related stories that recently caught my attention. Sherlock Holmes and Innovation in the Compliance Function, Part I – A Study In Scarlet by Tom Fox in the FCPA Compliance and Ethics Blog First I am back with an homage to Sherlock Holmes, for it was in the magazine Beeton’s Christmas […]

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Compliance Bricks and Mortar for November 21

Commissioner: ‘Millionaires can fend for themselves’ by Mark Schoeff Jr. in Investment News “This obsession with ‘protecting’ millionaires — potentially at the cost of hindering the wildly successful and critically important private markets — strains logic and reason,” said SEC member Daniel Gallagher Jr. “Millionaires can fend for themselves.” S.E.C.’s Delay on Crowdfunding May Just […]

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Compliance Bricks and Mortar for November 14

These are some of the recent compliance-related stories that caught my attention. The SEC and the DMV by Thomas O. Gorman in SEC Actions “The SEC Should Copy the DMV” is the title of an article published in the New York Times by Joseph S. Fichera recently. The article focuses on the use of corporate […]

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Compliance Bricks and Mortar for November 7

These are some of the compliance-related stories that recently caught my attention. Fordham Law offers LL.M in Corporate Compliance, expands JD training by Sean J. Griffith in the FCPA Blog The new compliance programs are good news for law students. According to The Wall Street Journal, starting salaries for compliance officers have been rising 3.5% […]

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Compliance Bricks and Mortar for October 17

These are some of the compliance-related stories that recently caught my attention. Mathew Martoma’s Wife Fights to Keep Couple’s Florida Home, Millions in Cashby Bruce Carton in Compliance Week Martoma will begin serving his prison term next month, but his wife, Rosemary Martoma, is now challenging the $9.4 million forfeiture order. This week Rosemary Martoma asked the court to […]

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Compliance Bricks and Mortar for September 26

These are some of the compliance-related stories that recently caught my attention. Fixing a Company’s Ethics and Compliance Culture by Michael Volkov in Corruption, Crime & Compliance A company’s ability to enact meaningful change depends on the innate desire of its leadership to execute real change. It is too easy to say that such change […]

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