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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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Compliance Bricks and Mortar for April 17

These are some of the compliance-related stories that recently caught my attention Lions and Tigers and Bears – Certifications, Checklists and Standards by Michael Volkov in Corruption, Crime & Compliance People always look for shortcuts as a weak replacement for efficiency. My concern is that compliance practitioners, vendors, standard setting organizations, and non-profit organizations are […]

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Compliance Bricks and Mortar for April 10

These are some of the compliance-related stories that recently caught my attention. An Eerie Silence by David Kirk in McGuireWood’s The Fraud Board There’s an eerie silence in the world of fraud prosecutions in the UK. A Libor trial is about to start, a FCA land banking prosecution is on trial at Southwark, but with […]

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Compliance Bricks and Mortar for March 27

March Madness! SEC Loses an AP for First Time Since FY 2013 by Bruce Carton in Compliance Week In FY 2014, however, the SEC maintained 100% perfection in its administrative proceedings. The agency reportedly prevailed in every single one of its more than 200 APs in FY 2014, including 14 consecutive victories in cases that […]

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Compliance Bricks and Mortar for March 20

It’s finally Spring. Someday, all of this snow in Boston will melt. Someday. These are some of the compliance-related stories that recently caught my attention. The Fraudster Next Door by Scott Greenfield in Simple Justice Whether an epidemic of white collar crime exists in Utah isn’t clear.  There isn’t much of an epidemic of any […]

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Compliance Bricks and Mortar for March 13

These are some of the compliance-related stories that recently caught my attention. Protections for CCOs from Wrongful Termination by Tom Fox in the FCPA Compliance and Ethics Blog You can consider the departure from MF Global of its Chief Risk Officer, the financial services equivalent of a CCO. As reported in a New York Times […]

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Compliance Bricks and Mortar for March 6

These are some of the compliance-related stories that recently caught my attention. Compliance Leadership and “The Grey Area” by Roy Snell in SCCE’s The Compliance & Ethics Blog When people sit in a room, especially under stress, after finding a potential problem, they tend to try to broaden the definition of the law rather than […]

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Compliance Bricks and Mortar for February 27

These are some of the compliance-related stories that recently caught my attention. SEC Commissioners Push Lifetime Bans on Executives by Joel Schectman in WSJ.com’s Risk & Compliance Journal The U.S. Securities and Exchange Commission is divided over whether it should impose severe restrictions on banks and their executives who break securities rules. For top executives, […]

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Compliance Bricks and Mortar for February 20

It’s been a tough week in Boston dealing with the historic level of snow. As of February 17, the snow depth near Boston was greater than in all but two reported locations in Alaska. It was significantly higher than the notoriously snowy states of Michigan, Wisconsin, and Minnesota. Only Buffalo, New York, had a higher […]

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