Think Before You Tweet! What are the challenges for broker/dealers and investment advisers trying to use social networking sites? Complinet hosted a webinar on this topic with Clifford Kirsch from Sutherland Asbill & Brennan LLP and Debbie Corej, Vice President, Compliance – Insurance Division, Prudential. Clifford started the discussion by pointing out the need to [...]
Tag Archives: Complinet
What Went Wrong at Lehman?
Complinet interviewed David DeMuro, head of compliance at Lehman Brothers during its last days in 2008. It should come as no surprise that the warning signs were there for everyone to see but in the midst of a bubble, employees were too scared to raise their hand because there was still money to be made. [...]
FSA Berates Compliance Officers in Crackdown on Data Security Breaches
Joanne Wallen of Complinet writes about the reaction of the U.K.’s Financial Service Authority: FSA Berates Compliance Officers in Crackdown on Data Security Breaches (.pdf). The FSA focused on compliance officers for not putting enough focus on data security. Examples of good practice at firms that the FSA visited included encrypting laptops and using secure [...]
Evolution of Compliance
I watched a recorded webinar presented Complinet: Compliance Evolution: Lessons Learned, Forgotten and Ignored. (March 13, 2008) Betsy Prout Lefler, the Deputy Director of Compliance at Piper Jaffray and Co. gave the presentation. There are many different perspective on compliance and what compliance professionals do. In part because the role has changed very quickly. At [...]
Social Media
My social media policies database is available to you.
Affilate
This website uses the Canvas Wordpress theme from WooThemes. (affiliate link)
