Archive | Compliance Bricks and Mortar RSS feed for this section
magic lantern

Compliance Bricks and Mortar for August 26

These are some of the compliance-related stories that recently caught my attention. Private Fund Advisers Must Pay Close Attention to Nuances under Pay-to-Play Restrictions in Light of Upcoming Elections Nationwide As the elections approach nationwide, advisers to private investment funds with current or prospective state or local government entity investors should be mindful of political […]

Read full story · Comments { 0 }

Compliance Bricks and Mortar for August 19

These are some of the compliance-related stories that recently caught my attention. Anti-Corruption Laws and Other International Risks – What it Means for the Real Estate Industry and How to Protect against Risks by Ropes & Gray The real estate industry is commonly viewed to be higher risk in light of the numerous government touch […]

Read full story · Comments { 0 }
Team Kinetic Karma PMC

Compliance Bricks and Mortar for August 12

These are some of the compliance-related stories that recently caught my attention. They caught my attention after completion of my Pan-Mass Challenge ride last weekend. (Even though the ride is over, there is still time to donate: http://profile.pmc.org/DC0176.) This is the team photo taken on Saturday afternoon. Compliance Careers Looking Good, Mostly by Matt Kelly in […]

Read full story · Comments { 0 }
pmc bricks

Compliance Bricks and Mortar for August 4

It’s early round up this week. I’m taking Friday off to ride additional day before the Pan-Mass Challenge.http://profile.pmc.org/DC0176 In the meantime, these are some of the compliance-related stories that recently caught my attention. People, please stop making these two insider trading-related mistakes! by Bruce Carton in Compliance Week There are two insider trading-related “mistakes” that I have […]

Read full story · Comments { 0 }
PMC

Compliance Bricks and Mortar for July 29

If you enjoy Compliance Building, please join many of my other readers and support my Pan-Mass Challenge ride to fight cancer next week. (Thank you to those who have already donated.) I’m pedaling from the New York border to Provincetown on August 5-7. 100% of your donation goes to the fight against cancer. You can […]

Read full story · Comments { 0 }
bike snow

Compliance Bricks and Mortar for July 22

These are some of the compliance-related stories that recently caught my attention. World’s 20 biggest banks rack up £252bn ‘conduct costs’ in five years by Sean Farrell in the Guardian The cost of fines, legal bills and customer compensation racked up by the world’s 20 biggest banks over the five years to the end of […]

Read full story · Comments { 0 }

Compliance Bricks and Mortar for July 8

These are some of the compliance-related stories that recently caught my attention. One Thought on Blockchain in Money Compliance Blockchain could make AML obsolete, in theory. Blockchain is the decentralized database system that allows for recordkeeping of transactions nearly impossible to fake. And because of it, it sort of creates a world that is zero […]

Read full story · Comments { 0 }
canada flag bricks

Compliance Bricks and Mortar – Canada Day Edition

Today marks the joining of the British North American colonies of Nova Scotia, New Brunswick, and the Province of Canada into a federation of four provinces on July 1, 1867. These are some compliance-related stories that caught my attention recently, even though they have nothing to do with Canada. BREXIT and Compliance by Jonathan Armstrong […]

Read full story · Comments { 0 }
brexit

Compliance Bricks and Mortar for the Brexit

These are some of the compliance-related stories that caught my attention while waiting for the results from the Brexit vote. BEST PRACTICES FOR TODAY’S CCO by Julie DiMauro in the FCPA Blog In addition to knowing their regulatory-reporting obligations, compliance officers should understand what their managers do, what products and services their company offers and the systems […]

Read full story · Comments { 0 }
IMG_4442[1]

Compliance Bricks and Mortar for June 17

These are some of the compliance related questions that recently caught my attention. Power plants are no longer America’s biggest climate problem. Transportation is. by Brad Plumer in Vox Here’s an important energy milestone: For the first time since 1979, America’s cars, trucks, and airplanes emit more carbon dioxide than its power plants do. … But […]

Read full story · Comments { 0 }