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Compliance Bricks and Mortar for the July Fourth Weekend

These are some of the compliance-related stories I set aside to read this holiday weekend. What Do Rating Agencies Think about “Too-Big-to-Fail” Since Dodd-Frank? by Gara Afonso and João Santos in Liberty Street Economics Is it possible that, while S&P still expects support for some BHCs, the perceived strength of support has decreased and is […]

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Compliance Bricks and Mortar for June 19

These are some of the compliance-related stories that recently caught my attention. Ethisphere Announces the 2015 Attorneys Who Matter  Honorees represent all areas of practice including federal agencies, in-house counsel, top ethics and compliance officers of major companies, and outside counsel. Each one raises the bar for ethical behavior and boasts a commendable track record […]

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Compliance Bricks and Mortar for June 12

These are some of the compliance-related stories that recently caught my attention. Jamie Dimon Says He’s Unsure If Elizabeth Warren Understands Global Banking System by Kim Chipman for Bloomberg [W]hen asked about his biggest worries, Dimon expressed concern that the U.S. may eventually be hurt by ideological decisions being made in Washington. [More…] Legal Ethics […]

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Compliance Bricks and Mortar for June 5

These are some of the compliance-related stories that recent caught my attention.   Sen. Elizabeth Warren Sharply Criticizes SEC Chairman in Letter in the Wall Street Journal Ms. Warren took aim at several issues in Tuesday’s letter, including a long-delayed executive compensation rule mandated by the 2010 Dodd-Frank law requiring companies disclose the pay gap […]

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Compliance Bricks and Mortar for May 29

These are some of the compliance-related stories that recently caught my attention. Whistleblowers Find SEC Rewards Slow and Scarce by Jean Eaglesham and Rachel Louise Ensign in the Wall Street Journal An SEC spokeswoman declined to say how much money has been collected for any of the 658 enforcement actions the agency’s website lists as […]

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Compliance Bricks and Mortar for May 21

It’s a day early because of the long weekend. If you’re looking to read some other compliance-related stories this weekend, these are some that recently caught my attention. Former SEC Chairman Cox Weighs in on Administrative Proceedings by Bruce Carton in Compliance Week On Wednesday, former SEC Chairman Christopher Cox offered his own interesting perspective […]

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Compliance Bricks and Mortar for May 15

These are some of the compliance-related stories that recently caught my attention. You need to build a wall, brick by brick. Cyberattacks Represent Top Risk, SEC Chief Says by Andrew Ackerman in the Wall Street Journal “One of my major concerns about this area is nearly everybody gets how high-level the risk and priority of […]

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Compliance Bricks and Mortar for May 8

These are some of the compliance-related stories that recently caught my attention: Cyber Insurance: A Pragmatic Approach to a Growing Necessity by John Reed Stark and David R. Fontaine in Cybersecurity Docket To manage this burgeoning yet still nascent threat, just like other routine day-to-day risk and hazards, companies have started to include cybersecurity concerns […]

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Compliance Bricks and Mortar for May 1

These are some of the compliance-related stories that recently caught my attention. Wall Street Pushes Back on Foreign Bribery Probe by Jean Eaglesham, Emily Glazer Ned Levin in the Wall Street Journal The previously unreported campaign by banks goes to the heart of a wide-ranging inquiry into whether they ran afoul of U.S. antibribery laws […]

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Compliance Bricks and Mortar for April 24

These are some of the compliance-related stories that recently caught my attention. Investors Turn to Big Real-Estate Funds by Peter Grant in the Wall Street Journal Investors are pouring more money into real-estate funds than they have since the property bust, but a few giant fund firms are collecting the lion’s share of the spoils. […]

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