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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 […]

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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 […]

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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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Social Media Access by Employers

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 […]

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Ethics and the 75 percent

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 […]

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Updated List of Other Blogs I Read

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 […]

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Happy New Year’s Eve

Center of town. Woodstock, Vermont. “Snowy night” (1940) by Marion Post Wolcott Published by the Library of Congress

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Happy Holidays

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

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Newtown

No post today. I’m a bit lost from this horrible tragedy.

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Happy Thanksgiving

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.

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