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Compliance Bricks and Mortar for August 21

These are some of the compliance-related stories that recently caught my attention. The 5 Most Common AML Compliance Program Deficiencies by Michael Volkov in Corruption, Crime & Compliance In my view, AML programs do not get sufficient support and exposure from top-level management. A compliance failure usually can be traced back to the lack of […]

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Compliance Bricks and Mortar for August 14

These are some of the compliance-related stories that recently caught my attention. Beware the ‘SEC Impersonator’ Scams Targeting Your Money by Bruce Carton in Compliance Week You might not think that fraudsters impersonating the SEC would be a significant or ongoing problem but the volume of the SEC’s “Investor Alerts” on this topic would seem […]

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Compliance Bricks and Mortar for August 7

I finished the charity bike ride across Massachusetts. There’s still time to donate. Look at the bottom of this update. Since, I’m off the bike, these are some of the compliance-related stories that recently caught my attention. SEC Tries Flipping Witnesses by Jean Eaglesham in the Wall Street Journal The SEC touts the cooperation program […]

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Compliance Bricks and Mortar – Pan-Mass Challenge Edition

At the time this story gets published on Friday, I will be on bike somewhere between Hillsdale, New York and Sturbridge, Massachusetts. That’s the first leg of my Pan-Mass Challenge ride to support cancer research. I’ll end up in Provincetown on Sunday afternoon. Many of the readers of Compliance Building have generously supported my ride. […]

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Compliance Bricks and Mortar for July 24

These are some of the compliance-related stories that recently caught my attention in between bike rides.(It’s not too late to support my Pan-Mass Challenge ride to support cancer research.) SEC hires new private funds specialist by Katherine Bucaccio in Private Funds Manangement Jennifer Duggins will join the commission later this month to co-head OCIE’s Private […]

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Compliance Bricks and Mortar for July 17

These are some of the compliance related stories that recently caught my attention. Deflategate (Part Two): My texts runneth over by Joshua C. Garbarino in The FCPA Blog The spontaneous nature of texts, often with photos, and sending them before anyone thinks about the consequences, means the texts can be a very revealing source of […]

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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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