A Facebook page for the Compliance Building blog by Doug Cornelius. This collects information on compliance and business ethics
Events
6 past eventsSee All
- Enterprise 2.0
Moscone North Convention Center
Saturday, November 7 at 1:00am - PEI Real Estate CFOs Forum
New York
Wednesday, October 7 at 9:00am - Social Media Best Practices
New York - Harvard Club
Monday, September 21 at 9:00am - Preparing for the strictest pr...
Webinar
Wednesday, July 29 at 12:00pm - Compliance Week Conference
Mayflower Hotel
Wednesday, June 3 at 9:00am - Counsel to Counsel
Reagan Center
Wednesday, April 1 at 11:00am
The FCPA’s Imperialist Myth from The FCPA Blog Why aren’t law professors training their students on the issue? The answer, says Elizabeth Spahn, is tied up with false notions in the West about legal imperialism. El...
Enterprise 2.0 Made Easy – Part 1 from Geek & Poke
Ronald J. Colombo of Hofstra University School of Law wrote a great paper on The Role of Trust in Financial Regulation. Trust is an important part of our financial markets. Scandals, massive incompetence, massive irresponsibility, massive fraud, have shaken trust in the financial markets...
Today, I am in San Francisco at the Enterprise 2.0 Conference at the Moscone Center, speaking on a panel about social media policies...
Last Friday, the SEC published the exhibits for Investigation of Failure of the SEC to Uncover Bernard Madoff’s Ponzi Scheme (Report No. OIG-509). That was 536 separate exhibits tying to fill in the background on what happened with the SEC and Madoff. ...
The Organization for Economic Cooperation and Development issued a handbook that provides guidance designed to help tax examiners and tax auditors detect and deter money laundering: The Money Laundering Awareness Handbook for Tax Examiners and Their Auditors...
Wall Street bankers and analysts increasingly want to use social networking to connect and interact with customers. But financial services companies have a hard time trying to comply with the compliance and regulatory requirements...
Image is by 3268zauber: Kürbis Fratze.jpg licensed under the Creative Commons Attribution ShareAlike 3.0
Here are some interesting compliance stories that have not made their into their own posts: Canada’s Commitment to Combating the Corruption of Foreign Public Officials: Watching Bill C-31 from the Wrageblog Bill C-31, An Act to amend the Criminal Code, the Corruption of Foreign Public Officials A...
Insider trading is back in the news. The SEC has shown heightened interest in prosecuting these cases, evidenced by the high-profile arrest of Galleon hedge fund manager, Raj Rajaratnam, on civil and criminal charges...
People are more fair and more generous when they are in clean-smelling environments, according to a soon-to-be published study: The Smell of Virtue...
Enacting legislation is often compared to making sausage. I don’t think that the Private Fund Investment Advisers Registration Act is exception. I spent some time watching the House Financial Services Committee hearing on passing the Private Fund Investment Advisers Registration Act. ...
So you made almost $1 million on selling penny stocks through the pink sheets on $75,000. Nice pay day. Then the SEC makes you give it all back. This is the sad tale of Rodney Schoemann, a professional stock market trader...
The House Financial Services Committee passed H.R. 3818, the Private Fund Investment Advisers Registration Act, introduced by Congressman Paul E. Kanjorski (D-PA), Chairman of the House Financial Services Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises...
How Privacy Policies Stack Up (literally) The Common Data Project surveyed the online privacy policies of the largest internet companies...
