Compliance Bricks and Mortar for Groundhog Day

These are some of the compliance-related stories that recently caught my attention

Misplaced Regulatory Moves, Up Close by Matt Kelly in Radical Compliance

Like manna from heaven, every time you write about some grand plan from government, fate sends an example of how harebrained bureaucracy can be in practice. And so today we have an example of missing the point on deregulation, which some bureaucrat at the Federal Communications Commission clearly did.[More…]

Beware ICO Lawyers: As Regulatory Gatekeepers, You’re the Next SEC Target by John Reed Stark

Equally astonishing is that ICOs have grown largely outside of regulatory oversight and without the investor protections and disclosure requirements that apply to traditional investment offerings. In fact, ICOs provide a virtual “Driver’s Ed” film of possible securities law violations.   [More…]

Compliance and Creative Problem Solving by Tom Fox

One thing that compliance officers must never forget is that their customers are company employees. This means when an employee comes to you with a problem, they need you to fix it or to help them fix it. As the article noted, customers cared less about the actual outcome than about the process by which the employee tried to offer assistance. “It’s not about the solution—it’s about how you get there.” Once again, the Fair Process Doctrine raises its head not only in the corporate world but specifically in the compliance realm. [More…]

Ex-Morgan Stanley advisers used clients’ cash to fund wind farm project: feds

Two former Morgan Stanley advisers have agreed to plead guilty to US charges that they misused client funds to invest in a wind farm project they were involved with, federal prosecutors said on Wednesday.[More…]


Chinese cities have been overtaken by the chaos and clutter of dockless bikes. American cities should follow their lead.[More…]

Add a Comment

Your email address will not be published. Required fields are marked *