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Accounting

PCAOB is Ruled Unconstitutional - Comments (1)
SEC Decides to Think Further About IFRS - Comments (0)
Tuesday Morning Quarterback of Free Enterprise v. PCAOB - Comments (6)
Is PCAOB Constitutional? - Comments (0)
Fair Value Accounting: What Lawyers Need to Know - Comments (1)
New Rules Ease the Restructuring of CMBS Loans - Comments (0)
When Work Papers are not Subject to the Attorney-Client Privilege - Comments (0)
FBAR Filing Deadline Extended (For Some) - Comments (1)
Is the Public Company Accounting Oversight Board Unconstitutional? - Comments (0)
FBAR Deadline - Comments (0)

Anti-Money Laundering

Proposed FATCA Regulations Released - Comments (0)
New Anti-Money Laundering Requirements for Non-Bank Mortgage Lenders and Originators - Comments (1)
Changes Coming With Anti-Money Laundering Requirements - Comments (1)
Laundering the Proceeds of Corruption - Comments (0)
Anti-Money Laundering Obligations For Private Funds - Comments (1)
God Says No More Money Laundering - Comments (0)
Money Laundering Using Trust and Company Service Providers - Comments (0)
Export Control Limitations - Comments (2)
New Anti-Money Laundering Guidance - Comments (1)
FinCEN and Address Confidentiality Programs - Comments (0)

Book reviews

The Richer Sex: The New Majority of Female Breadwinners - Comments (0)
The Power of Habit and Compliance - Comments (0)
Why The Law Is So Perverse - Comments (0)
Margin Call - Comments (0)
Defending Jacob - Comments (0)
Why How We Do Anything Means Everything - Comments (4)
Boomerang – Michael Lewis Looks at the New Third World - Comments (1)
Reckless Endangerment - Comments (1)
No One Would Listen - Comments (0)
Compliance and Liar’s Poker - Comments (0)

Bribery and Corruption

Real Estate Executive Guilty of FCPA Violations - Comments (0)
Handy Decision Trees to Help with your Bribes - Comments (0)
The First Days of the UK Bribery Act - Comments (1)
Corruption and Twitter - Comments (1)
Paying a Bribe? There’s an App for that - Comments (1)
Guidance Under the UK Bribery Act - Comments (0)
Sovereign Wealth Funds, Bribery, Corruption, Hospitality and the FCPA - Comments (0)
The Impact of the UK Bribery Act on U.S. Companies - Comments (0)
The London Olympics and the Bribery Act - Comments (0)
Santa Claus and Corruption - Comments (0)

Code of Conduct

Mixed Messages from H-P - Comments (3)
Supreme Court Rules on the Privacy of Text Messages - Comments (0)
New Codes of Conduct for Real Estate Companies - Comments (1)
New Rules of the Game under the New York Public Pension Fund Reform Code of Conduct - Comments (0)
New York Public Pension Fund Reform Code of Conduct - Comments (1)
Dishonest Deed, Clear Conscience - Comments (1)
Business Codes of The Global 200 - Comments (4)
A Benchmarking Survey on Third-Party Codes of Conduct - Comments (2)
Boston University’s Code of Conduct - Comments (0)
CBRE’s Values and Standards of Business Conduct - Comments (0)

Complaint Handling

Roger Clemens and Lying to the Feds - Comments (5)
Warning the Witness - Comments (0)
Portugal and Ethics Hotlines - Comments (0)
Hiring Lawyers for Employees Under Investigation - Comments (0)
An Effective Workplace Investigation - Comments (0)
Ruehle Decision on Internal Investigations Overturned - Comments (1)
Associational Retaliation Claims - Comments (0)
Corporate Miranda for Internal Company Investigations - Comments (0)
Attorney-Client Privilege and Internal Investigations - Comments (3)
Conducting Investigations of Wrongful Workplace Conduct - Comments (0)

Compliance Bits and Pieces

Compliance Bits and Pieces for May 18 - Comments (0)
Compliance Bits and Pieces for May 11 - Comments (0)
Compliance Bits and Pieces for April 20 - Comments (0)
Compliance Bits and Pieces for April 13 - Comments (0)
Compliance Bits and Pieces – JOBS Act Edition - Comments (0)
Compliance Bits and Pieces for March 23 - Comments (0)
Compliance Bits and Pieces for March 16 - Comments (0)
Compliance Bits and Pieces for March 9 - Comments (0)
Compliance Bits and Pieces for March 2 - Comments (0)
Compliance Bits and Pieces for February 24 - Comments (0)

Compliance Programs

It’s Compliance and Ethics Week - Comments (0)
Compliance Bits and Pieces for April 6 - Comments (0)
Accredited Investors and the JOBS Act - Comments (1)
Hot Topics for SEC Exams - Comments (0)
SEC’s National Exam Program Overview - Comments (1)
Are you a Supervisor? - Comments (0)
Valuations, Private Equity, and the SEC - Comments (0)
Technical Problems - Comments (0)
Dodd-Frankenstein - Comments (0)
Compliance, the Middle-Finger Malfunction, and the Reluctant Touchdown - Comments (0)

Conference Notes

A New Era of Fundraising and Marketing - Comments (0)
Insider Trading and Restricted Lists - Comments (0)
Conducting an Effective Annual Review - Comments (0)
Keynote interview – Working with the SEC - Comments (0)
Mock Audit: Successfully Maneuvering Your Way Through an SEC Exam - Comments (0)
The Role of Social Media in the Compliance World - Comments (1)
Improving your compliance program through the use of technology - Comments (0)
Update on the new regulations and how they will impact you going forward - Comments (0)
Best practices for addressing anti-corruption issues - Comments (0)
A view from the SEC - Comments (1)

Conflict of Interest

Mishandling Fund Conflicts - Comments (1)

Corporate Governance

How Wall Street Killed Financial Reform - Comments (0)
A Conversation with Paul Volcker - Comments (0)
The Case for Professional Boards - Comments (0)
Facebook, Capital and Liquidity - Comments (0)
New York Stock Exchange and Corporate Governance - Comments (0)
The Most Influential People in Corporate Governance - Comments (1)
Now It’s the Law - Comments (2)
Financial Reform Passes the Senate - Comments (0)
The Basics of Corporate Structure - Comments (0)
Tax on Carried Interest? Maybe Not. - Comments (1)

Economics

Manufacturing Jobs, Robots, and the Economy - Comments (3)
The Great Depression versus the Great Recession - Comments (1)
Occupy the SEC - Comments (3)
Occupy LEGO Land - Comments (1)
Carried Interest and Obama’s American Jobs Act - Comments (0)
One of the Problems with Low Interest Rates - Comments (0)
Germany, Sub-Prime Mortgage Backed Securities, and Scatology - Comments (0)
Popping the Irish Bubble - Comments (1)
Frontline Investigates Bank of America and the Government’s Role in the Banking System - Comments (1)
Iceland’s Meltdown - Comments (16)

Employment Opportunities

Employment Opportunity – Senior Compliance Role - Comments (0)

Enterprise 2.0

Enterprise 2.0 – Regulatory and Compliance Concerns - Comments (0)
Legal Enterprise 2.0 Success Story - Comments (0)
Enterprise 2.0, Policies and Compliance - Comments (0)
Snake Oil 2.0 - Comments (0)
Enterprise 2.0 Conference in Boston - Comments (0)
Enterprise 2.0 Conference: Session Proposals - Comments (0)
Perception, Dilbert and a Magical Management Necklace - Comments (0)
Enterprise 2.0 – The Book - Comments (1)
Criticism and Praise - Comments (0)
PBWorks and Real Time Collaboration - Comments (3)

Enterprise Risk Management

Are You Systemically Important? - Comments (0)
Occupy the SEC - Comments (3)
The Rise and Fall of Jon Corzine - Comments (0)
Nobody Expects The Spanish Inquisition - Comments (0)
“Free” and the Black Swan - Comments (0)
Do You Want to be Systemically Important? - Comments (2)
Securities Class Actions in Canada - Comments (1)
The Economist: Special Report on Financial Risk - Comments (0)
The Drunkard’s Walk, The Butterfly Effect and The Black Swan - Comments (1)
Six Mistakes Executives Make in Risk Management - Comments (0)

Ethics

Am I a Man or a Muppet? - Comments (0)
World’s Most Ethical Companies – 2012 Edition - Comments (0)
Ethisphere’s 100 Most Influential People in Business Ethics - Comments (0)
Ethisphere and the New York Stock Exchange - Comments (0)
The Echoes of Madoff at the SEC - Comments (0)
What Does a Criminal Look Like? - Comments (0)
Remind People to Do the Right Thing - Comments (0)
Should You Invest in the World’s Most Ethical Companies 2011 Edition - Comments (1)
A Criminological Perspective on Business Ethics - Comments (3)
Business Ethics and Term Paper Mills - Comments (0)

Foreign Corrupt Practices Act

FCPA Conviction Upheld - Comments (0)
FCPA as a Strike Breaker - Comments (0)
Another FCPA Opinion Procedure Release on Corporate Hospitality - Comments (0)
Sovereign Wealth Funds, Bribery, Corruption, Hospitality and the FCPA - Comments (0)
Private Equity Portfolio Companies and Bribery Charges - Comments (0)
Real Estate, China and the FCPA - Comments (1)
Corruption Currents: The Wall Street Journal’s New Corruption Blog - Comments (0)
FCPA Release 10-03: Foreign Agents as Foreign Officials - Comments (1)
It Does Not Take Much to Get You Into FCPA Trouble - Comments (0)
FCPA Opinion Procedure Release 10-01 - Comments (0)

Fraud

Mortgage Fraud Rises in 2011 - Comments (0)
Battling Back Against Spammers - Comments (0)
Paperwork Dotted with Legal-Sounding Gibberish - Comments (0)
But the Computer Did It! - Comments (0)
Was Full Tilt Poker a Ponzi Scheme? - Comments (2)
Is Madoff a Sociopath? - Comments (0)
The Amish Madoff - Comments (1)
It Has a Name: Operation Broken Trust - Comments (0)
Fraud Awareness Week - Comments (1)
Rosand Enterprises and Real Estate Fraud - Comments (0)

Fundraising

Gathering Information on Your Private Fund Investors - Comments (0)
Hypothetical Backtested Performance - Comments (0)
How Popular is Regulation D Fund Raising? - Comments (0)
Will Private Funds Be Excluded? - Comments (0)
Crowdfunding the Crowdfunders - Comments (0)
Steps to Determine if an Investor is Accredited - Comments (2)
Next Steps for the JOBS Act - Comments (0)
Lifting the Ban on General Solicitation and General Advertising - Comments (1)
How Do State Regulators Really Feel About the JOBS Act? - Comments (1)
Crowdsourcing the Crowdfunding Exemption - Comments (4)

Government Contracting

New York City “Pay-to-Play” Law is Upheld - Comments (0)
PCAOB is Fixed – May Take Other Agencies Down (or get Fixed) - Comments (2)
School Official Disciplined for Misuse of LexisNexis - Comments (0)
FINRA and Placement Agents - Comments (2)
Who Said Government Ethics Wasn’t Funny? - Comments (0)
New Mexico Regulates the Use of Placement Agents - Comments (1)
California Regulates Use of Placement Agents - Comments (0)
Opportunities Exist to Improve DOD’s Oversight of Contractor Ethics Programs - Comments (0)
SIGTARP Quarterly Report - Comments (1)
California’s Pay-to-Play Laws - Comments (0)

GRC

GRC Professional Survey - Comments (0)
The 2010 OCEG GRC Achievement Awards Presentation - Comments (0)
Compliance and Solitaire - Comments (0)
Self-Assessments: Criteria and Procedures for Evaluating GRC Programs - Comments (1)
Tips for Getting Your GRC Program Running Quickly - Comments (0)
GRC Predictions for 2009 - Comments (0)
IT for GRC: Improving Information Quality - Comments (0)
Policy Lifecycles - Comments (0)
A Unified Approach to GRC - Comments (0)
Ethics as a Business Process - Comments (0)

Human Resources

Nursing Mothers and Compliance - Comments (0)
Evolving Employee Rights in the Age of Web 2.0 - Comments (0)
Clothing Drive - Comments (0)
COBRA Subsisdy Set to be Extended - Comments (0)
COBRA Subsidy Expiring - Comments (2)
New Workplace Posters – EEO is the Law - Comments (1)
Workplace Challenges of Influenza (Seasonal and H1N1) - Comments (3)
What You Should Know About California AB 1825 – Harassment Prevention Training for Supervisors - Comments (2)
IRS Issues New Guidance on COBRA Subsidy - Comments (3)
Limiting Access to the Courts in a Collective Bargaining Agreement - Comments (1)

Insider Trading

Insider Trading and Restricted Lists - Comments (0)
Smells Like Insider Trading - Comments (0)
Informants and Insider Trading - Comments (0)
When Red Flags Are Not Enough - Comments (2)
Private Company Shares, Valuation, and Employee Stock Repurchases - Comments (0)
The Leaves Say You Will Go Free - Comments (0)
I Wonder if We Will Laugh at his Phone When He Gets Out? - Comments (0)
More on the Massachusetts Regulations on Expert Networks - Comments (0)
Pillow Talk at Playboy Leads to Insider Trading - Comments (0)
Who Caught Them? Compliance or the SEC? - Comments (0)

Investment Advisers Act

The Danger of Overstating Assets Under Management - Comments (0)
Is it a Security? - Comments (0)
Bill Backs SRO for RIAs - Comments (0)
Advisory Contracts – Transition for Newly Registered Advisers - Comments (0)
Scalping as a Fraud - Comments (0)
Private Fund Advisers and State Registration - Comments (0)
Middle Names and Form ADV - Comments (0)
Tighter Rules on Advisory Performance Fee Charges - Comments (0)
The Clock is Ticking - Comments (0)
Investment Adviser Oversight Act of 2011 - Comments (0)

Investment Choice

Stay on Target - Comments (0)
FINRA Guidance on Private Placements - Comments (1)
Should You Invest in Ethical Companies? - Comments (2)
Accidental Securities Underwriter - Comments (0)
The fi360 Fiduciary Score Methodology - Comments (1)
Credit Rating Agency Reform - Comments (0)
N.Y. Comptroller Bans Placement Agents for State Pension Fund - Comments (0)
Guidance Concerning the National Security Review Conducted by the Committee on Foreign Investment in the United States - Comments (0)
Effective Date for FINSA and CFIUS Regulations - Comments (0)
Implementation of Foreign Investment and National Security Act - Comments (1)

Investment Company Act

Is Apple a Hedge Fund? - Comments (0)
Failure to Adequately Oversee Service Providers - Comments (0)
Real Estate Funds and the Investment Company Act - Comments (1)
Are you an Investment Company? - Comments (1)
The Knowledgeable Employee Exemption for Private Funds - Comments (1)
Qualified Purchasers under the Investment Company Act - Comments (3)
Private Fund Exemptions under the Investment Company Act - Comments (3)
Supreme Court Rules on When Mutual Fund Fees are too High - Comments (1)
Mutual Fund Advertisements and Social Media - Comments (11)
Private Fund Investment Advisers Registration Act Status - Comments (0)

IT Compliance

Stop SOPA - Comments (0)
Quon Roundup on Employee Computer Privacy - Comments (1)
National Cyber Security Awareness Month - Comments (0)
Workplace Computer Policy and the Attorney Client Privilege - Comments (4)
Simplify Your Compliance Processes - Comments (0)
Investor Relations 2.0 - Comments (3)
Blogging and Social Networking Policies - Comments (0)
Enforce Your Email and Web Acceptable Usage Policies - Comments (0)
How To Keep The Corporate Website In Compliance With Securities Laws - Comments (0)
Software License Compliance - Comments (0)

Knowledge Management

How to Find Answers Within Your Company – Would Quora Work? - Comments (0)
Fourth of July and Compliance - Comments (0)
Data Breaches and Knowledge Management - Comments (0)
The Four Areas of Risk and Knowledge - Comments (4)
Who Knows What? - Comments (1)
Personal Knowledge Management and Compliance - Comments (1)
Web 2.0, Knowledge Management and Professional Development - Comments (0)
Happy Columbus Day - Comments (0)
Federal Knowledge Management Working Group - Comments (2)
Knowledge Management Sites Search - Comments (0)

Most Popular

The Knowledgeable Employee Exemption for Private Funds - Comments (1)
Qualified Purchasers under the Investment Company Act - Comments (3)
Private Fund Exemptions under the Investment Company Act - Comments (3)
New Codes of Conduct for Real Estate Companies - Comments (1)
Massachusetts Amends Its Strict Data Privacy Law (Yet, Again) - Comments (11)
Compliance, Van Halen and Brown M&M’s - Comments (4)
Workplace Computer Policy and the Attorney Client Privilege - Comments (4)
Attorney-Client Privilege and Internal Investigations - Comments (3)
Compliance and Recommendations on Social Networking Sites - Comments (17)
Corporate Compliance Fraud in Georgia, Florida and Massachusetts - Comments (120)

Off Topic

Compliance and Patriots’ Day - Comments (0)
Blogoversary - Comments (0)
Happy Holidays - Comments (0)
We Are the 2%! - Comments (0)
Salute a Veteran - Comments (0)
Halloween and Compliance - Comments (1)
Happy New Year - Comments (0)
Weekend Humor: Dodd-Frank Update - Comments (0)
Fourth of July and Compliance - Comments (0)
Bruins and Compliance - Comments (2)

Patriot Act

NBA and OFAC - Comments (1)
What You Need to Know About U.S. Sanctions Against Drug Traffickers - Comments (0)
Updates to OFAC’s SDN List - Comments (0)
Specially Designated Nationals and Blocked Persons List Updated - Comments (0)
Risk Factors for OFAC Compliance – Updated - Comments (0)
Opening Securities and Futures Accounts from an OFAC Perspective - Comments (0)
FATF on Money Laundering and Terrorist Financing Through the Real Estate Sector - Comments (0)
Specially Designated Nationals and Blocked Persons List Updated - Comments (0)
The Specially Designated Nationals List (SDN) - Comments (0)

Privacy

Data Breaches in Massachusetts - Comments (0)
Proposed Identity Theft Red Flags Rules - Comments (0)
Enforcement of the Massachusetts Data Privacy Law - Comments (2)
Is Your Copier in Compliance? - Comments (0)
Data Privacy Day - Comments (0)
Dilbert on Employee Email Privacy - Comments (0)
Feds Release Usable Model Consumer Privacy Notice - Comments (1)
N.J. Supreme Court upholds privacy of personal e-mails accessed at work - Comments (0)
Data breach Sharing Framework - Comments (0)
Data Breaches and Knowledge Management - Comments (0)

Private Investment Funds

Comments on Advertising Restrictions for Private Funds - Comments (0)
Private Equity Real Estate Top 30 – 2012 Edition - Comments (0)
More Private Fund Advisers Register than SEC Expected - Comments (0)
Real Estate Funds and Form PF - Comments (2)
Are You a CPO? - Comments (0)
Will Private Equity Fund Managers Get a Registration Exemption? - Comments (0)
Private Fund Managers and SEC Registration - Comments (0)
Comment Period Extended for Volcker Rule - Comments (0)
Massachusetts Revises Proposed Private Fund Adviser Exemption - Comments (0)
Form ADV, Valuations, and Timing for New Registrations - Comments (0)

Publish to KM Space

How Wall Street Killed Financial Reform - Comments (0)
Social Media and the Financial Risk - Comments (0)
Compliance and Patriots’ Day - Comments (0)
The Death of Martindale Connected - Comments (0)
Crowdfunding the Crowdfunders - Comments (0)
A Conversation with Paul Volcker - Comments (0)
Am I a Man or a Muppet? - Comments (0)
Battling Back Against Spammers - Comments (0)
Technical Problems - Comments (0)
Blogoversary - Comments (0)

Real Estate Private Equity Funds

Which Real Estate Fund Managers Registered with the SEC? - Comments (0)
Are Real Estate Fund Managers Registered with the SEC? - Comments (1)

Records Management

Revisiting the Fabulous Fab - Comments (1)
The Fabulous Fab Rule - Comments (0)
Are Facebook and MySpace Messages Subject to Discovery? - Comments (3)
Zubulake Revisited: Six years Later - Comments (0)
In-House Counsel Sanctioned for Failing to Monitor the Preservation of Electronic Evidence - Comments (3)
The Four Areas of Risk and Knowledge - Comments (4)
California Adopts e-Discovery Rules - Comments (0)
Discretion and Compliance - Comments (4)
Email Compliance 201 - Comments (2)
Document Retention Policies and Spoliation of Evidence - Comments (1)

SEC News

Faking Your Returns - Comments (1)
SEC Seeks Public Comment Prior to Jobs Act Rulemaking - Comments (0)
SEC Sweep Letter for Private Equity Funds - Comments (1)
What the SEC Wants Next Year - Comments (0)
Rudy – Securities Fraud - Comments (0)
Three Compliance Failures - Comments (1)
SEC Says it is Bringing Charges Against Wall Street - Comments (2)
The SEC and Rating Agencies - Comments (0)
Stealing Private Equity Investment Opportunities - Comments (0)
Conflicts of Interest and Securitizations - Comments (0)

Social Networking and Web 2.0

Social Media and the Financial Risk - Comments (0)
The Death of Martindale Connected - Comments (0)
Charges Brought in Social Media Scam - Comments (0)
FTC, Bloggers, and Disclosure - Comments (0)
More from FINRA on Social Media and Mobile Devices - Comments (1)
Report on Investment Adviser’s Use of Social Media in Massachusetts - Comments (1)
Twitter Fail and Compliance - Comments (2)
Compliance and Google+ - Comments (2)
Enterprise 2.0 – Regulatory and Compliance Concerns - Comments (0)
Compliance Lessons from Weinergate - Comments (0)

Speaking Engagements

The Role of Social Media in the Compliance World - Comments (1)
PEI’s Private Fund Compliance Forum - Comments (0)
Enterprise 2.0 – Regulatory and Compliance Concerns - Comments (0)
Private Fund Compliance Forum - Comments (1)
Have you been Dodd-Franked? - Comments (0)

Sustainability

Can Companies Do Well by Doing Good? - Comments (0)
Revisiting Toyota, Ethics and Compliance - Comments (0)
Toyota, Ethics and Compliance - Comments (5)
SEC Guidance Regarding Disclosure Related to Climate Change - Comments (1)
The SEC and Climate Change - Comments (1)
Corporate Responsibility Weathering the Economic Storm - Comments (1)
Green Initiatives and Compliance Risks - Comments (0)
Sustainability, Ethics and Business Performance - Comments (0)
Earth Day - Comments (0)
Does It Pay To Be Good? - Comments (1)

Training

How NOT to Run a Safety Drill - Comments (0)
Bob Schiller’s Course on Financial Markets at Yale - Comments (0)
Compliance & Ethics Institute Announces Las Vegas Lineup - Comments (0)
Let’s Get Ethical!, Ethical!, I Want To Get Ethical… - Comments (0)
Massachusetts State Ethics Commission’s Online Training Program - Comments (0)
Thinking About Training - Comments (0)
Compliance and Ethics Training – How Much is Enough - Comments (1)

Trust

How Wall Street Killed Financial Reform - Comments (0)
Ethics, Trust, and Stupidity - Comments (0)
Trust and Compliance - Comments (1)

Whistleblower

SEC’s Whistleblower Annual Report - Comments (0)
A Weekend of Whistleblowing - Comments (0)
The New SEC Whistleblower Rule - Comments (1)
Will Cash Incentives for Whistleblowing Undermine Compliance Programs? - Comments (0)
Corporate Compliance after Dodd-Frank: Dealing with Whistleblower Bounties - Comments (1)
Proposed Rules for Implementing the Whistleblower Provisions From Dodd-Frank - Comments (1)
Save Your Company, Save Yourself - Comments (0)
How Does Your Hotline Compare? - Comments (0)
Who Blows the Whistle on Corporate Fraud? - Comments (3)
SOX Whistleblower Protections at Mutual Fund Companies - Comments (0)