One Heart Boston: All proceeds beyond the direct material costs, postage and applicable taxes from the sale of One Heart Boston merchandise will benefit The One Fund Boston, created to raise money to help those families most affected by the tragic events that unfolded during this year’s Boston Marathon. These are some of the compliance-related [...]
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A Strange Week
Last week was a difficult week to be away from Boston on vacation. My family is usually out on Patriot’s Day Monday watching the Boston Marathon. We wander down our street and mingle with the other spectators, friends, and neighbors on Commonwealth Avenue at the start of the Newton hills. Instead we spent the week [...]
Terror in Boston
I’m watching the horror while on vacation instead of my office in Boston. My heart goes out to all of the spectators and families who were affected by the blast. Patriot’s Day in Boston is usually a great day, starting with the Revolutionary War reenactments in the morning, a Red Sox home game, and the [...]
Eye of Sauron for Compliance
What better way to ensure compliance than to have an eye watching you while you work? What better eye than the ultimate evil eye of Sauron? It’s a product of the day at ThinkGeek. But since the day is April 1, it’s not real. (At least not yet.) Your workers can breathe a sigh of [...]
Not Quite Spring
Yet another heavy snowfall in Greater Boston. I spent my time this morning shoveling, instead of writing a new blog post.
TSA Compliance for Knives and Water
At first I thought Transportation Security Administration had gone completely insane. The blue shirts are now going to allow knives on planes as long as the blade is shorter than six centimeters and narrower than 1/2 inch. After looking closer I just think they merely incompetent. Up front I should mention that I have never [...]
How Much Did the Stimulus Affect Unemployment? Not Much
While the New York Fed is increasingly tasked with regulating financial institutions, its bread and butter is economic analysis. A recent report debunks the theory that the stimulus spending lowered unemployment. James Orr, vice president in the Federal Reserve Bank of New York’s Research and Statistics Group, and John Sporn, a senior analyst in the [...]
Compliance Bricks and Mortar – March 1 Edition
March comes in like a lion and out like a lamb. The same may be true of the SEC when it comes to the 2008 financial crisis and the SEC. This week’s Supreme Court decision in Gabelli v. SEC, means that the SEC has only 5 years after the date of the fraud to bring [...]
Investment Adviser Certified Compliance Professional
Just tooting my own horn today. I finally fulfilled the requirement to become an Investment Adviser Certified Compliance Professional®. With the SEC’s registration requirement for private fund managers, I took a closer look at what the SEC requires for compliance professionals. Rule 206(4)-7 imposes no particular requirements on a chief compliance officer. The SEC release [...]
How Effective is Your Gate?
Does your compliance program sometime feel like this gate? A tool working alone is not necessarily effective. It may be a great tool, but still not be effective. If it’s easy to get around then it’s not effective. Do you even know if people are going around? Is it even possible to know if they [...]
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