A nice piece in Monday’s Wall Street Journal on knowledge management: Who Knows What? Finding in-house experts isn’t easy. But most companies make it harder than it should be. The article, by Dorit Nevo, Izak Benbasat and Yair Wand, explores the expertise location benefits of enterprise 2.0. The authors describe the use of blogs, wikis, social […]
Bill Piwonka, Amanda Mayhew and Rodica Buzescu from EthicsPoint gave a webinar on social media and compliance. These are my notes: The presentation started with a user poll on the approach to social media at the attendees’ organizations: 27% block all social media sites 42% block a few social media sites only 29% allow all […]
Can law firms jump on the Enterprise 2.0 bandwagon? Lawyers are generally seen as conservative users of technology, preferring to use a quill and inkwell over a web-based publishing platform. David Hobbie shares some of the successes he has encountered in the adoption of Enterprise 2.0 at Goodwin Procter (.pdf – page 13) in the […]
Why does this blog exist? Why do I blog? When do I Blog? If you want answers to these questions, I put together this page on Why I Blog.
Louis Thompson, Jr. has an article in Compliance Week on using blogs for investor relations. Blogs: If Used Properly, an Investor-Friendly Tool (subscription required). Louis focuses on the Dell Shares blog used as an investor relations tool by Dell, Inc. and the GE Reports blog used by General Electric. Since this is a blog, I […]
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 […]
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 […]
FINRA has published a Guide to the Internet for Registered Representatives. It paints a difficult picture for registered representatives wanting to use Web 2.0 tools. FINRA breaks internet activity into five main group for purposes or regulatory requirements: Publicly available Web sites (including banner advertisements, blogs and bulletin boards) are considered advertisements. An email or […]
- Happy Thanksgiving
- US Private Equity Fund Compliance Guide
- SEC Brings Charges Against CCO for Custody Failure
- Compliance Bricks and Mortar for November 20
- Are There Real Estate Fund Enforcement Cases Coming From the SEC?
- Rapid-Fire, Nuts & Bolts Tips from Former Regulators Now in the Private Sector
- The Asset Management Unit: Reflecting and Moving Ahead
- Discover the Priorities and Perspectives of the Office of Compliance Inspections and Examinations
- Investment Management: What’s Next on the Rulemaking Front
- Red-Hot SEC Enforcement Priorities
Dodd-Frank’ed Real Estate
- Yes, the SEC Wants Real Estate Fund Managers to Register
- Are Real Estate Fund Managers Registered with the SEC?
- Are you an Investment Company?
- Real Estate Funds and the Investment Company Act
- Are you an Investment Adviser?
- Custody and Private Funds
- Private Equity Real Estate Top 50 – 2015 Edition of Who is Registered