Bentley CS 299

I spent some time this afternoon with Mark Frydenberg‘s class at Bentley University: CS 299 Web 2.0 – Technology, Strategy, and Community. I talked about my perspective on Web 2.0, trying to show how 2.0 tools can be used to help you organize the information you need to do your job better and develop yourself

Implementing Compliance Practices for Social Media

I was in the audience for FINRA’s latest educational Program: Implementing Compliance Practices for Social Media. This program addressed implementation of new guidance that FINRA recently issued in Regulatory Notice 10-06, concerning social media. Resources and Supplementary Material (.pdf) Slide deck (.pdf) These are my notes, live from the program (& riddled with typos): Introduction

Happy Evacuation Day!

March 17th may mean Saint Patrick’s Day to most of you. Here in Boston it’s Evacuation Day. The holiday commemorates the evacuation of British forces from the city of Boston following the Siege of Boston, early in the American Revolutionary War. (It’s just a coincidence that it coincides with Saint Patrick’s Day.) George Washington fortified

Dodd’s Solo View on Private Investment Funds

Senator Dodd did not forget about private investment funds. Tucked into page 366 of his 1366 page Restoring American Financial Stability Act of 2010 is the Private Fund Investment Advisers Registration Act. This is largely the same language in the Private Fund Investment Advisers Registration Act of 2009 contained in Dodd’s draft Restoring American Financial

Dodd Goes Solo

After months of negotiation, Senator Dodd gave up on his negotiations with Republicans and decided to introduce a financial industry reform bill all by himself. To promote the financial stability of the United States by improving accountability and transparency in the financial system, to end ‘‘too big to fail’’, to protect the American taxpayer by

Toyota, Ethics and Compliance

With Toyota’s problems all over the news, I started to think about whether compliance and ethics professionals could learn anything from these problems. To begin, I don’t think there is a systemic problem with their vehicles or with the company. I think the sudden acceleration problem is bunk. Yes, I own a Toyota, but my


Do I care if my law firm has an iPhone App? As client, I care about my law firms delivering useful information to me. Kevin O’Keefe says your law firm should forget about building an iPhone App. Morrison & Foerster didn’t heed his advice and created MoFo2Go, an iPhone app. iPhone App versus Mobile View

Compliance Bits and Pieces for March 12

Here are some compliance stories from the past week that I found interesting: Shadowing a Swindler by Richard Tofel His review of the Harry Markopolos book: No One Would Listen [N]early all the whistleblowers she had met shared two qualities. First, they were onto something—that is, there was at least some truth to what they

Upcoming Appearances and Conferences

For those of you stalking me or trying to find out when my house is empty, here are some places I will be this spring: Mark Fryenburg asked back to his speak to his class: CS 299 Web 2.0: Technology, Strategy, Community. I’m going to tackle personal knowledge management. After all, that is the reason

Consumer Complaints and Fraud

I occasionally like to look at consumer fraud complaints to see if I can learn any lessons for corporate compliance.On the consumer side there is tremendous volume of complaints and many parties trying to help. It caught my eye when four different organizations got together to identify the top consumer complaints for 2009. Here are