ACA Compliance sponsored this webinar on Thursday. Brian L. Rubin, Partner, Sutherland Asbill & Brennan LLP was the presenter. These are my notes. Section 203(e) of the Advisers Act: If an investment adviser fails to reasonably supervise an employee or any other person subject to the adviser’s supervision, and that person violates the federal securities [...]
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Want to Attend Interact 2011?
I’m not going to be able to make it to Interact 2011 this year, but the event organizers have offered some conference passes for me to dole out to readers of Compliance Building. (You will have to get there on your own and pay for accommodations.) If you are interested in attending, leave a comment [...]
Private Equity Tax and Compliance Practices 2010
Today I am attending the Private Equity Tax and Compliance Practices 2010 conference. This afternoon, I’m joining Karen Hansen of Flag Capital Management on the CCO Roundtable. Many private equity companies have escaped from having to register with the SEC and avoid the regulatory load of registration and compliance. The current draft of the financial [...]
Compliance Bits and Pieces – Compliance Week Edition
If you stuck around for my blog posts on Compliance Week 2010, I figured I would end the week with other attendee’s coverage: Lanny Breuer at Compliance Week by Tom Fox on FCPA Compliance and Ethics Blog He stated that tools which had been previously used to combat organized crime would now be employed in [...]
Winding Down From Compliance Week
My head is full of compliance goodness after spending 2.5 days at Compliance Week 2010. The Mayflower Hotel is a great place for a conference this size, with plenty of places to run into people. Substance The agenda was full of great substantive information from fellow compliance professionals. There were sessions on metrics, social media, [...]
Second City on the Stage at Compliance Week 2010 Conference
Get ready for a fun, interactive, high-energy conference closer from Second City Communications, the business solutions division of the world-famous comedy theatre. Using observations, ideas, and insights garnered from the entire three-day conference, Second City Communications will play back what they’ve heard, offering a real-time wrap-up of key conference takeaways, and providing a host of [...]
U.S. DoJ Asst. Attorney General, Criminal Division, Lanny Breuer Speaks at Compliance Week
Lanny Breuer, selected by President Obama to head the Criminal Division of the Justice Department in January 2009, will discuss practical matters for companies dealing with the Justice Department, including topics such as cooperation, attorney-client privilege, and the importance of pre-existing compliance programs. Breuer will also discuss the Department’s increasing use of proactive law-enforcement strategies [...]
Acting Deputy Attorney General Gary Grindler Speaks at Compliance Week 2010
Gary Grindler, the second-highest ranking official at the U.S. Justice Department, will talk about the department’s policy goals and initiatives to fight corporate fraud, including white-collar crime issues such as securities and commodities fraud, healthcare fraud, and the work of the Financial Fraud Enforcement Task Force. These are my notes, live from the keynote: Lots [...]
The 2010 OCEG GRC Achievement Awards Presentation
The Open Compliance and Ethics Group will recognize the great strides that many organizations have made in improving and integrating their approaches to governance, risk management, and compliance. The winners were: Best Buy – Ethics blog for employees Capital One – GRC implementation Carnival Corporation – Integrated approach to GRC Management Direct TV- Embedding spreadsheet [...]
Organizational Structures That Work: Small-Company Edition
In contrast to our “large company” edition Monday morning, this session will explore how smaller public companies structure their compliance functions. The CCOs at PETCO, Schnitzer Steel, and VeriSign—each with under $5 billion in revenue—will outline, compare and contrast the structure of their compliance organization, focusing on their functions, reporting structure, organization, responsibilities, infrastructure and [...]
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