Archive | Compliance Programs RSS feed for this section
Folder with the label Compliance

Compliance Across Industries

One of the puzzling aspects of compliance is that it means vastly different things across industries. What compliance means to a bank is very different from what compliance means to a drilling company. I think the reasons are obvious: regulatory requirements. In a highly regulated industry, there will be a greater focus on complying the […]

Read full story · Comments { 0 }

Compliance and the Super Bowl Victory

Defense wins championships. It’s an old sport cliche. However, the Denver Broncos proved it last night in the Super Bowl. The Orange Crush neutralized the NFL’s MVP, Cam Newton. Peyton Manning rounded off his career, landing win 200. Mr. Manning still has the most playoff losses of any quarterback. Of course that is because he […]

Read full story · Comments { 0 }

Happy Start to Your Compliance New Year

I hope you were able to enjoy the long weekend. Perhaps an extra long weekend if you found December 31 to be an optional work day. Today is obviously not the first day of the new year, but it is the first day of work in the new year. With the new year, come the […]

Read full story · Comments { 0 }
Hand drawing New Year concept with white chalk on blackboard. Going ahead to year 2016 and leaving the year 2015 behind.

Looking Ahead – Five Compliance Predictions for 2016

With my 2015 almost gone, I was thinking about what to expect in 2016 in the private fund and real estate fund compliance area. My crystal ball is not very reliable. If it was fully operational, I would have bought Apple stock in 2002 before the iPod came out. Real Estate Fund Enforcement Actions There […]

Read full story · Comments { 1 }

The Compliance of the Winter Solstice

The winter solstice marks the longest night and shortest day of the year with the latest dawn and the sun at its lowest point in the sky. Its the shortest day of the year. But that is not entirely true and we see a problem of scope, bias, and definition. The solstice happens at the […]

Read full story · Comments { 0 }

Jedi Training and Compliance Training

As I was gently caressing my tickets for tonight’s early premier of Star War: The Force Awakens, another compliance thought came to mind. The Star Wars saga shows three examples of Jedi training. One of which falls far short of the compliance standard. We see glimpses of the younglings training at the Jedi Temple. That […]

Read full story · Comments { 0 }
death star

The Compliance Failure of the Death Star

The Death Star was touted as the “ultimate power in the universe.” But a few proton torpedoes managed to destroy the entire station. It didn’t make into the trilogy, but I assume there would have been an ensuing investigation that would have looked at the failures that lead to loss. At least I imagined there […]

Read full story · Comments { 0 }
come to the dark side we have cookies

The Jedi and Compliance Failures

My family has been re-watching the Star Wars movies in anticipation of this week’s premiere of Episode VII. While watching Episodes I-III, I wondered if the Jedi could have used some compliance strategies to help prevent their downfall. Two of the goals of compliance are (1) to deter people in your organization from doing bad […]

Read full story · Comments { 0 }
PRI logo

PRI finalizes ESG questionnaire

The Principles for Responsible Investment Initiative has launched the Limited Partners’ Responsible Investment Due Diligence Questionnaire to encourage standardized due diligence on environmental, social and governance considerations in private equity. The LP Responsible Investment DDQ was developed in consultation with a working group composed of 41 LPs, funds of funds and GPs. There are 21 […]

Read full story · Comments { 0 }
happy chanukah Hanukkah menorah

Happy Hanukkah

How Hanukkah Came to the White House by Jonathan D. Sarna in The first president who took official notice of Hanukkah was one of the Jewish community’s least-favorite occupants of the White House, Jimmy Carter. In 1979, he ended 100 days of self-imposed seclusion over the Iran hostage crisis by walking to Lafayette Park, […]

Read full story · Comments { 0 }