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 […]
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 […]
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 […]
There was a kerfuffle in the news about employers demanding access to employees’ social media site. The stories stated the employers asked for the employees’ passwords, in addition to their usernames. In response, at least six states have started the legislative process to prevent employers from demanding that access. As you might expect, the tricky […]
The 75 percent number represents the votes needed by the Baseball Writers’ Association of America for a candidate to granted entry to baseball’s Hall of Fame. There were 569 ballots cast. On Wednesday, the BWAA announced that one of the greatest hitters and one of the greatest hitters in the history of baseball were denied […]
In starting off the new year I thought I would update my blogroll, that list of other sites that I read on a regular basis. There is a link to it in the top menu bar of the website. Rather than make you have to chase back to the website, I have also included the […]
Center of town. Woodstock, Vermont. “Snowy night” (1940) by Marion Post Wolcott Published by the Library of Congress
May you receive all the compliance gifts you’ve dreamed of. Cats Decorating Christmas Tree by Louis Wain in the Detroit Publishing Company Collection at the Library of Congress
No post today. I’m a bit lost from this horrible tragedy.
Thanksgiving Puck 1910 / BBaker. Creator(s): Baker, Bryant, 1881-1970, artist Date Created/Published: N.Y. : Published by Keppler & Schwarzmann, Puck Building, 1910 November 23.
- The NFL Teaches Us the Difference Between Ethics and Compliance
- Compliance Bricks and Mortar for September 19
- Controls on Fee Deductions and Disbursements
- CFTC Allows General Solicitation for Private Funds
- Weekend Reading: House of Debt
- Compliance Bricks and Mortar for September 12
- 9 11
- The SEC Is Serious About Section 16 Filings
- Do You Need to Know Enforcement Cases for Compliance?
- Combining Immigration Fraud and Investment Fraud