Privacy on Both Sides of the Atlantic

Here is the United States we are mostly talking about financial information and medical information when it comes to privacy and  data security. The state data privacy laws focus on social security numbers and financial account information. HIPPA created a federal regulatory regime for medical information. Europe has been focused less on financial information and […]

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Compliance and Solitaire

Compare playing solitaire on your computer against using a deck of cards to play solitaire. The computer won’t let you cheat. You can’t put the card on a stack if it doesn’t belong on that stack. The rules are embedded in game’s software. Ultimately, that should be one of the goals for compliance. You want […]

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One in Two U.K. Companies Block Social Networking Web Sites

Fulbright & Jaworski, the international law firm, just published their 6th Annual Litigation Trends Survey Report. It is an independent survey of senior corporate counsel from a wide range of industry sectors. About half of the respondents (52% of U.K. and 46% of U.S.) claim to block employees from accessing social networking Web sites. Two […]

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California Regulates Use of Placement Agents

California has followed the lead of New York and started regulating the use of placement agents. California’s law requires placement agents to disclose contributions and gifts made to state and local pension and retirement board members, as well as information about the placement agent’s compensation, the services provided, and any lobbying or regulatory registrations. The […]

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Mark Frydenberg

Web 2.0, Knowledge Management and Professional Development

Mark Frydenberg is teaching a new, experimental class at Bentley University’s: CS 299 – Web 2.0: Technology, Strategy, Community. I am the experiment today, telling my story to his students. The focus of my presentation will be how I learned about Web 2.0, started using it as a knowledge management tool and how I now […]

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bull investor

Defining An Accredited Investor

One of the key rules for private investment funds is that their investors generally need to be “accredited investors.” This is the gateway to an exemption from the registration requirement under the federal securities laws. The exemption is generally targeted so that experienced investors with significant financial resources and their own advisers are in less […]

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Canada’s Foreign Corrupt Practices Act

In the United States, the Foreign Corrupt Practices Act has received significant attention due to some recent high-profile prosecutions. Just to the North, there is the Canadian equivalent to the FCPA: the Corruption of Foreign Public Officials Act. It has not yet been a significant concern for most businesses that fall within its jurisdiction. But […]

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Happy Columbus Day

I decided to take the day off for Columbus Day. School is closed and the office is closed. Although, I posted this picture. So I guess I did something related to compliance.

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household calendar small

Calendars and Household Compliance

It is hard to keep track of who is doing what with a busy family. You can’t show up on time and do what you are supposed to do if you don’t where you are supposed be. My work calendar runs on an Exchange / Outlook platform, as does The Wife’s calendar. Now that The Son […]

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Compliance Bits and Pieces

Here is this weeks collection of stuff I found interesting, but didn’t blog about: To Combat Overseas Bribery, Authorities Make It Personal Dionne Searcy for The Wall Street Journal “To really achieve the kind of deterrent effect we’re shooting for, you have to prosecute individuals,” Mark Mendelsohn, deputy chief of the Justice Department’s criminal division, […]

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