The SEC formed the CCOutreach (yes, that is how they spell it) to promote open communications and coordination among securities regulators and the industry on mutual fund, investment adviser, and broker-dealer compliance issues. In addition to the national seminar in November of each year, they host regional seminars to enable Chief Compliance Officers to interact … Read more »
Year: 2009
Frontline Investigates Bank of America and the Government’s Role in the Banking System
Tuesday night is the premiere of Frontline’s latest report: Breaking the Bank. The report is supposed to include high-profile interviews with key players Ken Lewis and former Merrill Lynch CEO John Thain and will reveal the story of two banks at the heart of the financial crisis and their rocky merger. It may also look … Read more »
Dilbert on Compensation Committees
I assume this comic strip came out as a result of the Congressional hearings on regulating executive compensation. Read more »
New Frontier: Best Practices in Fraud Investigations and EmergingTrends in SEC and DOJ Enforcement
Securities Docket sponsored a webinar addressing critical questions about recent changes in the economic and political climates, emerging trends in SEC and DOJ enforcement, and the potential impact on lawyers, accountants, investigators, and other consultants who perform fraud investigations. It also outlined best practices when conducting investigations for the DOJ and SEC. Panelists: Gary Kleinrichert, … Read more »
Identity Theft Program Template for Low-Risk Entities
The Federal Trade Commission published a compliance template designed to assist financial institutions and creditors “at low risk for identity theft” in developing the Identity Theft Prevention Program required by the FTC’s Identity Theft Red Flags and Address Discrepancies Rule: Complying with the Red Flags Rule: A Do-It-Yourself Prevention Program for Businesses and Organizations at … Read more »
Join Me at the Enterprise 2.0 Conference in Boston
I have been spending less time in the Enterprise 2.0 movement as a result of switching my career from knowledge management to compliance. Steve Wylie thought it would be a nice fit to have me bring my compliance perspective to The Evening in the Cloud program at this year’s Enterprise 2.0 Conference. Any vendors presenting … Read more »
Bob Schiller’s Course on Financial Markets at Yale
Yale University has published the lectures from its Economics 252 course on YouTube. There are 26 lectures from Robert Schiller and some of his guests during the Spring of 2008. (Yes, that Robert Schiller.) This ECON 252 course is one of several courses available from Open Yale. These are selected lectures and other materials from … Read more »
You’re a Victim of a Ponzi Scheme, But What About Your State Taxes?
You missed the warning signs and got suckered into a Ponzi scheme. The IRS offered some tax relief for long-term Ponzi scheme investors (like some of the Madoff victims) who have paid taxes on gains from the investment. The IRS clarified the federal tax law governing the treatment of losses in Ponzi schemes. They also … Read more »
The SEC’s Office of Inspector General and Form D
The SEC’s Office of Inspector General has released its Semiannual Report to Congress (.pdf). I started off looking at how the OIG feels about the new Form D for securities sold under the Regulation D exemption: “Based on our review of Form D, we determined that certain revisions should be made to the form to … Read more »
What Blogging Brings to Business
This post is republished from my original post on KM Space on June 10, 2008: What Blogging Brings to Business. Blogs are powerful communication platforms that allow you to capture information you find interesting and to share it with an “audience” who can talk back to you. This panel of five business bloggers with a … Read more »