Category: Compliance Bricks and Mortar

Compliance Bricks and Mortar for August 18

Sorry for the lack of posts this week. I was attending and speaking at the Boston Investment Adviser Compliance Symposium. I needed to earn some continuing education credits for the my IACCP designation. While I was sitting it conferences, here are some of the compliance-related stories that caught my attention. Accredited Investors vs. Qualified Clients

Compliance Bricks and Mortar for August 11

These are some of the compliance-related stories that recently caught my attention. Fiduciary Duty Claims of Start-up Co-Founder Denied by Francis Pileggi in Delaware Corporate & Commercial Litigation Blog A recent Delaware Court of Chancery opinion analyzed claims that are not uncommon: one of two founders of a start-up, that failed to launch, claimed that the other co-founder

Compliance Bricks and Mortar – Pan Mass Challenge Edition

When this story publishes on Friday morning, I’ll be on my bike riding from Boston to Sturbridge for Day Zero of the Pan Mass Challenge. (I’m adding an extra day of cycling before the First and Second Day of the PMC.) Thanks to so many of you who read Compliance Building for your generous donations

Compliance Bricks and Mortar – John McCain Edition

Here are some of the compliance-related stories that recently caught my attention. Standardizing IRR Calculations and Related Disclosures – The SEC Continues to Focus on Private Equity Practice by Vivek Pingili, Esq. In recent years the SEC has closely examined private equity fund performance and reporting during routine exams. The importance of this topic came

Compliance Bricks and Mortar for July 21

These are some of the compliance-related stories that recently caught my attention. Developments in the Asset Management Industry by Itzhak Ben-David in the HLS Forum on Corporate Governance and Financial Regulation The rising concentration in the asset management industry and the rise of ETFs not only change the way investors invest, but also affect the

Compliance Bricks and Mortar for July 14

When this post gets published, I will have hopefully finished a 130 mile training ride across Massachusetts in preparation for the Pan Mass Challenge. I’m leaving my house in the middle of the night to be in Becket, MA by noon for parents’ weekend at my son’s summer camp. There is still time to support

Compliance Bricks and Mortar for June 16

I want to clarify my Pay-to-Play and Yard Signs post from earlier this week. I think an early draft of the post was sent through the email system that was incorrect. A senior SEC official clearly stated that yard signs are not limited by the Pay-to-Play Rule and that the speaker who made the statement was

Compliance Bricks and Mortar: Post-Comey Edition

Politics aside, one of the key items I saw in the Comey testimony yesterday was the effect of perception on interactions between a boss and his employees. Mr. Comey said he did “take as a direction” the president’s words to mean he should drop the investigation. That may or may not have been the intention

Compliance Bricks and Mortar Post-Paris Edition

President Trump announced that the United States will withdraw from the Paris Climate Agreement. The U.S. is the world’s second-largest emitter of carbon, with China in the top spot. China affirmed its commitment to meeting its targets under the Paris Climate Agreement and recently canceled construction of 100 coal-fired power plants, with plans to invest billions in

Compliance Bricks and Mortar – Memorial Day Edition

As we pause this weekend to remember those who have fallen while serving the armed forces, these are some of the compliance-related stories that caught my attention recently. No Movie Could Capture the Crazy Details of Bernie Madoff’s Story by GORDON MEHLER AND LARRY H. KRANTZ in The Atlantic Bernie Madoff is back, nearly a