W. Michael Hoffman of the Center for Business Ethics at Bentley College penned a 1999 Writing a Company’s Code of Ethics for Perspectives on the Professions. If employees are not brought into the process in some such way as I have suggested, they will be turned off. The code will seem something “they” have imposed […]
Mike Sisco of Cutter Consortium wrote a case study on what to do about a softwre license problem in the context of an M&A transaction: Compliance Problems? Address All Issues Quickly. If you encounter software license compliance problems in an M&A transaction, there are two ways to resolve the problem: Point out the problem to […]
The Center for the Study of Ethics in the Professions at the Illinois Instiute of Technology has published a great set of Resources for Writing a Code of Ethics.
The Markkula Center for Applied Ethics at Santa Clara University published an annotated list of business ethics resources.
Ethical Relativism is a theory that morality is relative to the norms of one’s culture. The same action may be morally right in one society but may be morally wrong in another. One of the arguments against ethical relativism is that universal moral standards can exist even if some moral beliefs vary among societies. In […]
Sam E. Antar, the convicted felon and former CEO of Crazy Eddie, puts forth the theory that the bad economy is accusing white collar crimes to float to the surface: Is there really more white collar crime today? No. The Madoff scheme is an example of a scheme that fell apart whent he markets went […]
The DOJ’s Information charging Siemens in the biggest FCPA enforcement action ever tells of more than 4,000 payments worth at least $1.4 billion to foreign officials to obtain or retain business. Siemens also had systematic and intentional violations of the internal controls and books and records provisions that might have prevented or detected the corrupt […]
Gregory Zuckerman of the Wall Street Journal put together a story on the Multiple Red Flags in Madoff Case. Steady returns in every kind of market Operated as a broker dealer with an asset management division. Why not simply act as a hedge fund and pocket big gains, rather than profit from trading commissions. “Why […]
The October issue of the Harvard Business Review has an article by Scott Clark: The Contribution Revolution – Letting Volunteers Build Your Business. Mr. Clark challenges companies to tap into the contributions of people beyond their organizations. (He has clearly driven the Kool-Aid offered by Don Tapscott in Wikinomics.) One section caught my attention: I […]
Bruce Carton of Compliance Week and Securities Docket put together examples of “Legal Insider Trading” on his Enforcement Action blog.
- Compliance Bricks and Mortar for March 7
- Compliance Lessons From My Dog
- Create an Introduction for the SEC
- Are Oil and Gas Investments “Securities”?
- Occupy Boston is Back…..
- Compliance Bricks and Mortar for February 28
- Are SEC Employees Profiting from Enforcement Actions?
- SEC Charges Private Equity Fund Manager with Misallocation of Expenses
- The Darth Vader Defense to Insider Trading
- California’s Public Disclosure of Private Fund Investments