Decoding the Science of Compliance — Are you Ready for 201 CMR 17.00?

Compliance Week broadcast a webcast on the new Massachusetts data privacy regulations: Decoding the Science of Compliance — Are you Ready for 201 CMR 17.00? (and sponsored by Iron Mountain). Garry Watzke, Esq., Senior Vice President Legal & Business Development at Iron Mountain, Inc. started with the basics which I have noted in several other […]

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Trading in Distressed Debt

Richard G. Mason, Steven A. Cohen, Ian Boczko, Sarah A. Lewis, and David Gruenstein of Wachtell, Lipton, Rosen & Katz, have prepared a memorandum concerning the possession and use of information when buying and selling distressed debt (an abridged version of which was published in The New York Law Journal): Trading in Distressed Debt . […]

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Insider Trading by Congress

Apparently members of Congress and their staff can make trades using non-public information obtained through their official positions. House Rules Committee Chairwoman Louise M. Slaughter, D-N.Y., and Brian Baird , D-Wash., are sponsoring what they call the Stop Trading on Congressional Knowledge Act (HR 682) that would prohibit Members of Congress and their staffers from […]

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Post Your Form ADV

If you are a registered investment adviser you need to file a Form ADV with the SEC. Your Form ADV is searchable on SEC’s Investment Adviser Public Disclosure site. Post a copy of your filed Form ADV on your company’s website and/or link to your Form ADV on the SEC website.It shows you are registered […]

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U.S. Senate Hears About Madoff

On Tuesday, the U.S. Senate Committee on Banking, Housing, and Urban Affairs held a hearing on the background and implications of the Madoff scandal: Madoff Investment Securities Fraud: Regulatory and Oversight Concerns and the Need for Reform. Video Archive Member Statements Senator Christopher J. Dodd Witness Testimony Professor John C. Coffee, Adolf A. Berle Professor […]

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International Data Privacy Day

January 28, 2009 is International Data Privacy Day. [Intel's Collection of data privacy materials]. The United States, Canada, and 27 European countries will celebrate Data Privacy Day together for the second time. One of the primary goals of Data Privacy Day 2009 is to promote privacy awareness and education among teens across the United States. […]

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New I-9

Starting February 2, 2009 there is a new I-9 (.pdf) for new employees. What’s new?: All documents presented during the verification process must be unexpired. Two new documents have been added that establish both identity and employment authorization Three documents were removed from the list of acceptable documents The Department of Homeland Security U.S. Citizens […]

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Encouraging Courage on the Job

G. Jeffrey MacDonald takes a look at whistleblower policies in business for the Christian Science Monitor:When courage is encouraged on the job: How workplaces can motivate employees to take a stand when trouble brews. In business, the difference between a fixable mistake and an irreparable disaster sometimes hinges on whether employees dare to take a […]

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Tips for Getting Your GRC Program Running Quickly

Mike Hoefgen of CA put together some Tips for Getting Your GRC Program Running Quickly. Even if you do not put your compliance program into the GRC archetype there are some useful thoughts. It is not a project. GRC / compliance is an on-going business process. I encountered this when I was in knowledge management. […]

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Bingham’s Take on Compliance Reviews of an Extraordinary Year

Nancy M. Persechino of Bingham McCutchen LLP put together her take on the Compliance Reviews of an Extraordinary Year. She also includes a chart of the changes in law and rules, new guidance, and enforcement actions (.pdf). Given the market turbulence of the past year and the rapidly changing business and regulatory environments, many CCOs […]

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