Compliance Building Is Now Mobile

To those of you who use mobile devices, I have installed a plugin that makes it easier to read Compliance Building on your mobile device.  It looks great on my iPhone. At some point in the future I will add a little more pizzazz to the color scheme and maybe an image. It also renders […]

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COBRA Coverage Under ARRA

As part of the enormous stimulus package in the American Recovery and Reinvestment Act of 2009, the federal government included some relief for laid-off employees. Mark Spring discusses the COBRA subsidy in ARRA over at the California Labor and Employment Law Blog: The Stimulus Bill’s Impact on COBRA. The biggest change to COBRA is a […]

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Email Compliance 201

LiveOffice presented a webinar on records management issues related to electronic correspondence and archiving. (I missed the Email Compliance 101 session.) First up was  Christina Rovira, Legal Compliance Advisor at CoreCompliance & Legal Services, Inc. She pointed out that SEC and FINRA require investment advisers and broker-dealers to supervise the business activities of their representatives. […]

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Roundtable Discusses Supply Chain Risks

On Jan. 27, 2009, Compliance Week and Integrity Interactive presented an editorial roundtable focusing on supply chain and vendor management risks. They were kind enough to invite me to participate. There is an article about the roundtable in the next issue of Compliance Week and a copy is available on line: Roundtable Discusses Supply Chain […]

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Is Investor Protection the Top Priority of SEC Enforcement?

Stavros Gadinis a Post-Graduate Fellow at Harvard Law School has published a paper: Is Investor Protection the Top Priority of Sec Enforcement? Evidence from Actions Against Broker. Abstract: Recent financial collapses have focused policymakers’ attention on the financial industry. To date, empirical studies have concentrated on corporate issuer activity, such as securities offerings and class […]

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The Stanford Fraud

Yesterday, the SEC filed a complaint against R. Allen Stanford and three of his companies: Antiguan-based Stanford International Bank, Houston-based broker-dealer and investment adviser Stanford Group Company, and investment adviser Stanford Capital Management. Tuesday morning, the Wall Street Journal reported on Stanford Depositors head to Antigua or Redemptions. Word had gotten out that the authorities […]

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Five Things Every Legal Practice Should Know About 2.0

At the recent LegalTech conference, Lee Bryant and May Abraham presented on Web 2.0 tool inside law firms (a/k/a Enterprise 2.0). Lee shares his thoughts on his Headshift blog:  Five Things Every Legal Practice Should Know About 2.0: In the session, we tried to get across just how easy it is to find meaningful use […]

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In Case You Missed The Webinar. . .

Here is the archive of the webcast for you to watch at your leisure. You can also see the live commentary on the webcast that happened on Twitter: Twitter/ #SecuritiesD. You can also get the materials from the webcast.

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Today’s “Web 2.0″ Webcast Materials

If you plan on joining us for today’s webcast, I wanted to make some more information available. Twitter: We will  be monitoring Twitter before, during and after the webcast for questions and comments using the #SecuritiesD hashtag. Follow Bruce Carton on Twitter: @brucecarton Follow Doug Cornelius on Twitter: @DougCornelius Slides: Web 2.0 – Leveraging New […]

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Re-Post – Web 2.0: Leveraging New Media to Maximize Your Securities & Compliance Practice

On February 17, 2009, Securities Docket is sponsoring a webcast that will look at the numerous ways that securities and compliance counsel and professionals can now use web 2.0 to promote, market, and network themselves, their practices and their firms as never before. Please join Bruce Carton, Editor of Securities Docket, and me for a […]

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