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Disasters during the past decade have forever altered legal counsel's role in small and large businesses alike. In addition to traditional areas of responsibility -- such as corporate governance, financial risk, and personnel, counsel must now plan...

I continue my series on why I believe that compliance is at the ‘Tipping Point’ with a discussion of the Volkswagen (VW) emissions-testing scandal and its effect on the greater compliance world. Myself and many other commentators have written...

To conclude this week’s posts, I wanted to list some of the more prevalent social media tools, explain what they are and how you might use them in a compliance program. (As usual I got carried away so this series will conclude on Monday of next...

I continue my Great Structures Week with focus on structural engineering innovations from ancient Rome. I am drawing these posts from The Teaching Company course, entitled “ Understanding the World’s Greatest Structures: Science and Innovation...

The role of the chief compliance officer is the talk of the Securities and Exchange Commission these days – or at least some of its Commissioners. Those who are speaking for the record agree that the role of the CCO is important. Those who are speaking...

Over the past few weeks, Google+ has exploded as a new social web platform. We had friends on Facebook and followers on Twitter. Now there are Circles on Google+ . What does this mean from a compliance perspective? Not much for right now. Google...

A Work Plan is helpful when re-evaluating or updating a Compliance Program to assure that this phase of the life of a Program receives the attention and time required to fulfill the essential tasks necessary to prove that the Program is "effective...

Effective training programs incorporate all learning tools available to reach the widest target audience. Effective training provides knowledge about what an employee can and cannot do when confronting those 'grey areas' that exist in the real...

I continue my exploration of the use of social media in doing compliance by taking a look at a very innovative social media solution to a difficult compliance issue around, of all things, honey. This example shows how creative thinking by a lawyer, in...

One of the requirements of registration as a registered investment adviser is the appointment of a Chief Compliance Officer and the establishment of a formal compliance program. The SEC stated that a firm need not hire a new person to be the CCO. However...

FINRA has long regulated and limited the ability of broker/dealers to communicate with the public. One of their missions is to protect the investing public from unscrupulous securities brokers. Twitter is a communications tools and any messages posted...

That story is title does not come from me; it's a quote from Commissioner Troy A. Paredes of the Securities and Exchange Commission. We cannot simply focus on the costs and benefits of a single rule change on a stand-alone basis. It is the totality...

In 2009, a talented programmer (or group of programmers) released the first virtual currency protocol, known as Bitcoin. The Bitcoin protocol, essentially a robust P2P payment system , has now spun several other virtual currencies (Litecoin, Dogecoin...

Dont miss Part 1 of the Measuring ROI series: Using the Payback Approach , by Jon Allen The goal of financial management in a company is to maximize the value of the company’s stock. Managers need ways to determine whether a project being considered...

The reorganization of the Division of Enforcement which spawned the re-introduction of specialty groups was, in part, designed to focus the resources of the Division and increase efficiency and effectiveness. Three recently filed cases are an example...