Doug Cornelius on compliance for private equity real estate
As 2015 comes to an end, I looked back at some website wonkiness and saw a report for the top stories this year based on the number of views. Maybe you missed some of these. Qualified Purchasers under the Investment Company Act What is a Security? Is Real Estate a Security? Private Equity Real Estate … Read more »
‘Twas the night before Christmas, when all through the house Not a creature was stirring, not even the compliance….. That’s enough of my poetry. And frankly enough work for the day. I’m off to celebrate for a long weekend. Merry Christmas. Happy Holidays. Read more »
One of the most hated men in American business was grabbed by the FBI and put in handcuff. The Securities and Exchange Commission slapped a “me too” suit on him as well. Martin Shkreli did the perp walk last week for running a ponzi scheme. Shkreli became the face of what is wrong with the … Read more »
The Securities and Exchange Commission left a new Report on the Review of the Definition of “Accredited Investor” as an early Christmas present under your compliance tree. [Feel free to replace Christmas with New Years or the year end celebration of your choice.] We will need to keep an eye on what happens with this … Read more »
The winter solstice marks the longest night and shortest day of the year with the latest dawn and the sun at its lowest point in the sky. Its the shortest day of the year. But that is not entirely true and we see a problem of scope, bias, and definition. The solstice happens at the … Read more »
These are some of the compliance-related stories that recently caught my attention. Star Wars Week Part I – How do You Evaluate a Risk Assessment? by Tom Fox in the FCPA Compliance Report Today I begin a series of Star Wars themed blog posts to celebrate the upcoming release of the next entry in the … Read more »
As I was gently caressing my tickets for tonight’s early premier of Star War: The Force Awakens, another compliance thought came to mind. The Star Wars saga shows three examples of Jedi training. One of which falls far short of the compliance standard. We see glimpses of the younglings training at the Jedi Temple. That … Read more »
The Death Star was touted as the “ultimate power in the universe.” But a few proton torpedoes managed to destroy the entire station. It didn’t make into the trilogy, but I assume there would have been an ensuing investigation that would have looked at the failures that lead to loss. At least I imagined there … Read more »
My family has been re-watching the Star Wars movies in anticipation of this week’s premiere of Episode VII. While watching Episodes I-III, I wondered if the Jedi could have used some compliance strategies to help prevent their downfall. Two of the goals of compliance are (1) to deter people in your organization from doing bad … Read more »