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Compliance Bricks and Mortar For February 5

These are some of the compliance-related stories that recently caught my attention. The Most Thankless Job on Wall Street Gets a New Worry: Recent enforcement actions find compliance officers personally liable by Emily Glazer in the Wall Street Journal Those officers on Wall Street in charge of ensuring that traders and other employees stay on […]

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Compliance Bricks and Mortar for January 29

These are some of the compliance-related stories that recently caught my attention.   U.S. Banks Cut Off Mexican Clients, as Regulatory Pressure Increases by Rachel Louise Ensign, Emily Glazer and Amy Guthrie in the Wall Street Journal At issue are correspondent-banking relationships that allow Mexican banks to facilitate cross-border transactions and meet their clients’ needs […]

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Compliance Bricks and Mortar for January 22

These are some of the compliance related stories that recently caught my attention. Corporate Disclosure, Social Policy, and Dirty Pool by Matt Kelly in Radical Compliance [L]et’s use the Conflict Minerals Rule as the flagship example of a much broader bad idea in Dodd-Frank—using federal securities law to force social policy on corporations. Because as […]

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Happy New Year 2016

Compliance Bricks and Mortar for the New Year

Happy New Year! May 2016 be better for you than 2015. These are some of the compliance related stories that caught my eye before the end of 2015. Compliance Fiction by Roy Snell in SCCE’s Compliance & Ethics Blog Let me tell you a completely fabricated compliance story. [More…] The Father of Texas and Leadership […]

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Compliance Bricks and Mortar for December 18

These are some of the compliance-related stories that recently caught my attention. Star Wars Week Part I – How do You Evaluate a Risk Assessment? by Tom Fox in the FCPA Compliance Report Today I begin a series of Star Wars themed blog posts to celebrate the upcoming release of the next entry in the […]

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Compliance Bricks and Mortar for December 11

These are some of the compliance-related stories that recently caught my attention. A Compliance Plan or a Compliance Idea? by John Nocero in SCCE’s The Compliance & Ethics Blog Much of what we do is dictated by our compliance plan. But we also need to be able to react based on arising risks or incidental […]

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Compliance Bricks and Mortar for December 4

These are some of the compliance-related stories that recently caught my attention.   Your next PR battle is brewing in Private Funds Management Last week, the California Public Employees’ Retirement System (CalPERS) released carried interest data that several media outlets were quick to spin as private equity somehow being more expensive than investors had realized, […]

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Compliance Bricks and Mortar for November 20

These are some of the compliance-related stories that recently caught my attention. Attributes of a Great Ethics and Compliance Leader by Jean-Marc Levy in Corporate Compliance Insights The three most important qualities of a CECO are courage, a deep understanding of his/her business and emotional intelligence. These qualities go beyond the traditional role of an […]

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Compliance Bricks and Mortar for November 13

These are some of the compliance-related stories that recently caught my attention. Compliance Officers Think Regulators Are Targeting Them By Samuel Rubenfeld in the Wall Street Journal’s Risk & Compliance Journal Thomson Reuters, for its Personal Liability Report, found that 93% of compliance professionals expect their personal liability to increase over the next year, with […]

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Compliance Bricks and Mortar for November 6

These are some of the compliance-related stories that recently caught my attention. Definition of Materiality Depends Who You Ask by Emily Chasan in the Wall Street Journal As CFO Journal reported on Tuesday, at least half a dozen standard setters, including the accounting rule makers, Securities and Exchange Commission and stock exchanges, have some guidelines […]

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