Doug Cornelius on compliance for private equity real estate
Regulators get piles of comment letters on proposed rules. But do the comments have an affect? Three math and finance professors tried analyzed the text of comments and regulations to find and answer. Andrei A. Kirilenko, Shawn Mankad, and George Michailidis created a regulatory analytical tool called RegRank. The three researchers pointed RegRank at the … Read more »
The National Labor Relations Board continues to wreck havoc on companies’ social media policies. That latest to get steamrolled in Boch Honda. I grew up with Ernie Boch’s commercial proclaiming that his costs are less so his prices are less, so “come on down“. Employers cannot prevent employees from discussing their conditions of employment with … Read more »
Do as I say; Not as I do. The bankruptcy of Dewey & LeBoeuf sent shivers throughout big law firms. The firm could trace its history back 100 years and employed over 1000 lawyers when it exploded. Last week, key leaders of the firm were charged with securities law violations and criminal theft charges related … Read more »
There are compliance lessons to be learned in Wheelmen: Lance Armstrong, the Tour de France, and the Greatest Sports Conspiracy Ever by Reed Albergotti and Vanessa O’Connell. Lance Armstrong was one of the best cyclists in last 20 years. But his wins were built on a foundation of illegal doping and performance enhancing drugs. It’s … Read more »
These are some of the compliance-related stories that recently caught my attention. Machiavelli for Chief Compliance Officers by Tom Fox in the FCPA Compliance and Ethics Blog Lesson No. 1 – Heed Selected Advice from Selected Advisors While in medieval Florence, the Prince ruled as the supreme monarch, he still needed advisors. Today, we are … Read more »
My dog has taught me a few lessons about compliance. (That’s me and Ghost taking a well-deserved nap.) Start early. We started dog training early to focus on developing good habits at an early stage. (We did lose a few shoes while he was a puppy.) It’s never too late to unlearn bad habits, but … Read more »
The chances are greater than ever that the Securities and Exchange Commission will show up in your lobby. Be prepared and have an introductory presentation for them. The SEC’s Office of Compliance Inspections and Examinations is continuing on its presence exam initiative. Those exams are shorter which means the examiners can get to more fund … Read more »
The Securities and Exchange Commission brought an enforcement action against Jeffory D. Shields, GeoDynamics, Inc., and several other business entities affiliated with Mr. Shields, alleging securities fraud. The businesses are oil and gas exploration and drilling ventures and Mr. Shields, as managing partner of GeoDynamics, marketed the interests Joint Venture Agreements. The district court granted … Read more »
No, it’s not. “March 1st and March 2nd, NBC Studios will be in Norman B. Leventhal Park to film large crowd scenes for the pilot of their television series “Odyssey”. While filming will only be on the weekends, certain production work will take place during the week. Any set design or props in the Park … Read more »
These are some of the compliance-related stories that recently caught my attention. Are You a “Rat Trader?” by Bruce Carton in Compliance Week Today I stumbled up on the following headline from the Chinese publication, Global Times: “Rat trader faces 5-10 years for insider dealing.” Rat trader?? It turns out that in China, at least, “rat … Read more »