At the recent NRS Fall Compliance Conference I was talking with another attendee about LinkedIn and the SEC rules on advertising. The basic question was can her employees use it. That became a more nuanced discussion of the various features. One topic was the messaging feature of LinkedIn. You can send massages to people on LinkedIn. […]
The National Labor Relations Board continues to wreck havoc on companies’ social media policies. That latest to get steamrolled in Boch Honda. I grew up with Ernie Boch’s commercial proclaiming that his costs are less so his prices are less, so “come on down“. Employers cannot prevent employees from discussing their conditions of employment with […]
Broker-dealers and investment advisers are finding access to client through social networks and providing new marketing opportunities. But they also pose the challenge of making it harder for the firms to supervise, review, maintain, and protect the information. The Securities and Exchange Commission and FINRA are struggling to keep the regulatory requirements up to date […]
Netflix chief executive Reed Hastings got into trouble on July 3, 2012 when he used his personal Facebook page to announce that Netflix had more than one billion hours of online viewing in June. That trouble came from an SEC rule implemented in August of 2000: Regulation FD. That rule was implemented to stop the […]
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 […]
In the frenetic early days of social media foward-thinking companies thoughtfully sat down and crafted sensible policies to help guide employees who had suddenly turned into web publishers.The companies recognized the risks involved, whether the employee was acting recklessly, or merely writing down unacceptable material without realizing the implications. It was still a small area […]
The National Labor Relations Board has been ruling on social media policies and making a mess of the regulatory landscape. In its May 30, 2012 report on recent social media cases (.pdf) the Board eviscerates many social media policies that resulted in adverse employment action. In the process it confuses the landscape of acceptable social […]
This is not meant to be a scare tactic. It’s just pointing out that web publishing tools have made it very easy to be a publisher. That’s great from an information perspective because it’s so much easier to find relevant information. The problem is that the ease of publishing and finding information has nothing to […]
When Lexis backed a social networking platform for lawyers, I paid attention. I didn’t think a platform for lawyers would be interesting, but if it connected to some of Lexis’s massive collection of legal content it could at least be informative. That never came to the Martindale Connected platform. The platform has remained boring and […]
The Securities and Exchange Commission charged an Illinois-based investment adviser with offering to sell fictitious securities on LinkedIn. The SEC also issued two alerts to highlight the risks investors and advisory firms face when using social media. The SEC’s Division of Enforcement alleges that Anthony Fields of Lyons, Illinois offered more than $500 billion in […]
- US Private Equity Fund Compliance Guide
- SEC Brings Charges Against CCO for Custody Failure
- Compliance Bricks and Mortar for November 20
- Are There Real Estate Fund Enforcement Cases Coming From the SEC?
- Rapid-Fire, Nuts & Bolts Tips from Former Regulators Now in the Private Sector
- The Asset Management Unit: Reflecting and Moving Ahead
- Discover the Priorities and Perspectives of the Office of Compliance Inspections and Examinations
- Investment Management: What’s Next on the Rulemaking Front
- Red-Hot SEC Enforcement Priorities
- Coping With Regulatory Change – Office of Investor Advocate
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