It’s going to be a long day, with this next door to my office. (And by “long day”, I mean having to listen to bands and riotous crowds during the day while trying to get work done, and the unpleasant aftermath tonight and in the morning on my doorstep.)
Compliance is all about looking for signs. You want signs that employees understand the rules. You want signs that mistakes are being spotted and fixed before they become bigger problems. You want signs that big problems are being smartly corrected. Those signs take many forms. You can monitor hotline calls. You can have employees repeatedly […]
As a long time Patriots fan, it’s a great morning. But the Patriots and the NFL were not without compliance failures. Clearly, something went wrong with the Patriots’ footballs in the Indianapolis game. I keep hearing conflicting reports and the investigation is not complete so it’s hard for me to draw any conclusions. But the […]
The Massachusetts Governor declared a travel ban and public transportation has been stopped. That definitely makes it a stay-at-home day for me. I’ll be out shoveling instead of writing about compliance today.
It’s the third Monday of January, so that means a day off to celebrate the Birthday of Martin Luther King, Jr. It was officially observed in all 50 states for the first time in 2000. President Ronald Reagan signed a bill creating the federal holiday to honor King in 1983. How to celebrate?
Washington, D.C. October 3, 1863 By the President of the United States of America. A Proclamation. The year that is drawing towards its close, has been filled with the blessings of fruitful fields and healthful skies. To these bounties, which are so constantly enjoyed that we are prone to forget the source from which they […]
Raymond Weeks of Birmingham, Alabama, organized a Veterans Day parade for that city on November 11, 1947, to honor all of America’s Veterans for their loyal service. Later, U.S. Representative Edward H. Rees of Kansas proposed legislation changing the name of Armistice Day to Veterans Day to honor all who have served in America’s Armed […]
The September 11 attacks resulted in the deaths of 2,977 victims. The victims included 246 on the four planes, 2,606 in New York City in the World Trade Center towers and on the ground, and 125 at the Pentagon. Nearly all of the victims were civilians. One was an employee of my company. Make a […]
For me, July starts with the red, white and blue, then quickly turns to yellow. The yellow jersey worn by the overall leader of the Tour de France. I’ve been a big fan of the Tour de France for the past decade and a half. I admit that it was the success of Lance Armstrong […]
IN CONGRESS, July 4, 1776. The unanimous Declaration of the thirteen united States of America, When in the Course of human events, it becomes necessary for one people to dissolve the political bands which have connected them with another, and to assume among the powers of the earth, the separate and equal station to which […]
- Weekend Reading: Argo
- Compliance Bricks and Mortar for March 27
- Failure to Disclose Loans Among Affiliated Funds
- Compliance Bricks and Mortar for March 20
- Drew Bowden Thinks Private Equity is a Great Business
- What Does the Regulatory Scheme for Financial Services Look Like?
- Happy St. Patrick’s Day
- Referral Fee Disclosure and Conflicts
- Compliance Bricks and Mortar for March 13
- Lighting Up the Towers of Secrecy Through Anti-Money Laundering Requirements