So, for the first time since 1888 both Thanksgiving AND Hanukkah fall on the same day. Enjoy some time off with friends and family. I am.
Sorry folks. The federal government is closed. The moose out front should’ve told you. Not exactly. The Securities and Exchange Commission is still open and operational. The SEC’s current operational plan in the event of an SEC shutdown is available here (pdf). It’s not clear from reading this what will be operational and what is […]
The September 11 attacks resulted in the deaths of 2,996 people, including the 19 hijackers and 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. 55 military […]
The phrase “dog days” refers to the sultry days of summer, the months of July and August in the Norther Hemisphere. The Romans referred to the dog days as diēs caniculārēs. The Dog Days were the days when the star Sirius rose just before or at the same time as sunrise. They considered Sirius to […]
I was up last night hooked into latest episode of Breaking Bad. Besides it being a great show, it highlights a focus of compliance. How do you prevent your employees from going bad? For those of you who haven’t seen the show, Walter White, a mild-mannered high school chemistry teacher helps ends meet by making […]
The ABA Journal is working on their annual Blawg 100 list. They think it’s a good idea to smash law blog into blawg. Visit the Blawg 100 Amici nomination page and fill in a few boxes. Due date is August 9. The reason for this story is whether to put Compliance Building forward as a […]
Canada Day is the national day of Canada celebrating the anniversary of the July 1, 1867, enactment of the British North America Act, 1867 which united three colonies into a single country called Canada within the British Empire.
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 […]
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 […]
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 […]
- Proposed Anti-Money Laundering Regulations for Investment Advisers and Fund Managers
- Management Fee “Waiver” Tax Treatment
- Compliance Bricks and Mortar for August 21
- Hiring Relatives Could Be An Illegal Bribe
- Weekend Reading: Rain
- Compliance Bricks and Mortar for August 14
- On line portals for fundraising
- Updates on Private Placements
- Upcoming Anti-Money Laundering Rules for Private Funds
- A Win for Compliance Officers
Dodd-Frank’ed Real Estate
- Yes, the SEC Wants Real Estate Fund Managers to Register
- Are Real Estate Fund Managers Registered with the SEC?
- Are you an Investment Company?
- Real Estate Funds and the Investment Company Act
- Are you an Investment Adviser?
- Custody and Private Funds
- Private Equity Real Estate Top 50 – 2015 Edition of Who is Registered