Sometimes when you look at an investment opportunity, you run through the math and see that things don’t add up. That means it might be a fraud. Take a look at the offering of Bio Profit Series V, LLC detailed in an enforcement action by the Securities and Exchange Commission. Assuming the SEC’s complaint is … Read more »
Weekend Book Review: Mortal Bonds
Sometimes, when I’m looking for a break from reading compliance materials, I look to read a thriller. Maybe a financial thriller would be a good change of pace. A publisher offered me a review copy of the financial thriller from an award-winning author and I cracked it open. Mortal Bonds is Michael Sear’s follow up … Read more »
Compliance Bricks and Mortar for November 1
My kids and I are suffering from a candy hangover this morning after sweeping through the neighborhood trick-or-treating. I’ll try to regain my focus by reading some of these compliance-related stories that recently caught my attention. Bold and Unrelenting Enforcement from the SEC: A Six Month Review by Terence Healy in The CLS Blue Sky … Read more »
The Monsters of Compliance – Monster Mash
I was working in the lab late one night When my eyes beheld an eerie sight For my monster from his slab began to rise And suddenly to my surprise He did the mash He did the monster mash The monster mash It was a graveyard smash He did the mash It caught on in … Read more »
The Monsters of Compliance – Dracula
The pumpkins and garish Halloween decorations are out on my front lawn. With the Halloween season upon us, my mind has become stuck on movie monsters and been mixed with compliance. This is the terrible result. Vampires have taken many forms, mixing mythologies, weaknesses and desires. There is the regal version played by Bela Lugosi, … Read more »
The Monsters of Compliance – Freddy Krueger
The pumpkins and garish Halloween decorations are out on my front lawn. With the Halloween season upon us, my mind has become stuck on movie monsters and been mixed with compliance. This is the terrible result. Freddy Krueger terrorizes the kids of Springwood, Ohio, attacking them when they sleep. He seeks revenge for the dark … Read more »
The Monsters of Compliance – The Mummy
Ignore the warning at your peril. The archaeologists were told to be careful with the Imhotep’s mummy. He had been punished for trying to resurrect his forbidden lover. In the 1932 version, Boris Karloff’s Imhotep was mummified alive for his crime. The archaeologists had been warned not to read the Scroll of Thoth. It brought … Read more »
Compliance Bricks and Mortar for October 25
These are some of the compliance-related stories that recently caught my attention. White softens stance on minor securities violations by Mark Schoeff Jr. in Investment News Securities and Exchange Commission Chairman Mary Jo White told compliance officers Tuesday that the agency will work with them to address regulatory lapses before resorting to enforcement. “The balance … Read more »
Monsters of Compliance – Werewolf
The pumpkins and garish Halloween decorations are out on my front lawn. With the Halloween season upon us, my mind has become stuck on movie monsters and been mixed with compliance. This is the terrible result. The werewolf is old and widespread legend. Lycanthropes gain the ability to turn from human form into a wolf … Read more »
The Monsters of Compliance – Frankenstein’s Monster
The pumpkins and garish Halloween decorations are out on my front lawn. With the Halloween season upon us, my mind has become stuck on movie monsters and been mixed with compliance. This is the terrible result. Victor Frankenstein builds a creature in his laboratory with a mixture of surgery, chemistry, and alchemy. His creation horrifies … Read more »