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28 Mar 2009, 10:00 am
SEC's OCIE Unit Ramps Up Training on Detecting Ponzi Schemes by Bruce Carton of Securities Docket Burned by its high-profile failure in the Madoff case, the SEC is ramping up its training of staff on how to detect certain types of securities fraud. [read post]
28 Mar 2009, 4:00 am
Thanks to Bruce Carton of Securities Docket for pointing out The Bernard Madoff Trading Card. [read post]
23 Mar 2009, 12:00 pm
Thanks to Bruce Carton of Securities Docket for pointing out this report (via Twitter). [read post]
18 Mar 2009, 9:45 am
Friehling - hosted on JD Supra SEC Charges Madoff Auditors With Securities Fraud, "Pretending" to Perform Audit by Bruce Carton of Securities Docket Madoff Accountant Charged With Fraud by Chad Bray for WSJ.com Madoff’s auditor… doesn’t audit? [read post]
18 Mar 2009, 5:32 am
See: Revenue Procedure 2009-20 (.pdf) Revenue Ruling 2009-9 (.pdf) IRS issues guidelines to assist Madoff victims by AccountingWeb IRS Issues Guidance for Investors in Ponzi Schemes by Jim Hamilton's World of Securities Regulation Commissioner Shulman’s Senate Finance Testimony on Ponzi Schemes and Offshore Tax Evasion Legislation IRS: Madoff Victims Can Deduct Up to 95% of Investment Loss by Bruce Carton of Securities Docket Can You Prevent Ponzi Schemes? [read post]
17 Mar 2009, 8:45 am
If you want a whistleblower program in France, you need to register it with the CNiL and it must be limited to reports about the “vital interests of the company or it its employee's physical or mental integrity” See: Paris Pulls the Plug on Enforcement by Richard Cassin of The FCPA Blog France restricts international corruption investigations by Valentina Pop for the EUObserver.com Group of States against Corruption publishes report on France by GRECO Third… [read post]
14 Mar 2009, 5:00 am
At my recent presentation with Bruce Carton, Web 2.0 - Leveraging New Media to Maximize Your Securities & Compliance Practice, Bruce and I kept an eye on the Twitter backchannel. [read post]
14 Mar 2009, 5:00 am
At my recent presentation with Bruce Carton, Web 2.0 - Leveraging New Media to Maximize Your Securities & Compliance Practice, Bruce and I kept an eye on the Twitter backchannel. [read post]
13 Mar 2009, 4:00 am
See: Madoff Pleads Guilty, Will Spend Rest of His Life in Prison by Mark Hamblett for the New York law Journal The Madoff Hearing: Handcuffed Madoff is Taken Away, While Victims Speak Out by Brian Baxter of AmLaw Daily Live Blogging the Madoff Hearing: Bail Revoked, Madoff Remanded by Brian Baxter of AmLaw Daily Live Blogging the Madoff Hearing: The Victims Speak by Brian Baxter of AmLaw Daily The Circus in Foley Square by Brian Baxter of AmLaw Daily The Madoff Allocution hosted on JD Supra Madoff:… [read post]
11 Mar 2009, 12:12 pm
Bruce Carton moderated a panel of Veronica Rendon of Arnold & Porter, Richard Swanson of Arnold & Porter and Jeff Nielsen of Navigant Consulting, Inc. [read post]
9 Mar 2009, 3:32 am
It takes time to build up a good list of Twitter sites and sources worth following, but one good starting point is the list of "Twitter Feeds for Securities Counsel" that Bruce Carton of the Securities Docket has developed (here). [read post]
3 Mar 2009, 11:49 am
See also: SEC Press Release 2009-39 - SEC Warns Investors and Financial Firms of Government Impersonators "Impersonation of Securities Regulator" Scam Returns By Bruce Carton from Compliance Week ($$) Fake Seals and Phony Numbers: How Fraudsters Try to Look Legit from the SEC [read post]
2 Mar 2009, 12:12 pm
Thanks to Bruce Carton, again, for announcing my arrival on Twitter. [read post]
1 Mar 2009, 4:39 pm
Thanks to Bruce Carton and Securities Docket for pointing out the interview: Sunday Night: Harry Markopolos on 60 Minutes. [read post]
27 Feb 2009, 10:00 pm
As Bruce Carton and I discussed in our Webinar on 2.0 for Securities and Compliance Professionals, blogs are just communications tools. [read post]
21 Feb 2009, 10:00 pm
After my webinar with Bruce Carton on Tuesday (Web 2.0: Leveraging new media to Maximize Your Securities and Compliance Practice), I ran across a three part series on Why Webinars Fail from Larry Kilbourne: Content Failures, Format Failures and, Process Failures. [read post]
18 Feb 2009, 7:40 pm
In the presentation, Doug and Bruce [...] [read post]
18 Feb 2009, 6:01 am
Bruce Carton points out that one of Stanford's own lawyers has emerged as a key figure in the matter: Attorney for Stanford's "Disaffirmation" of Prior Statements Was Red Flag for SEC. [read post]
17 Feb 2009, 6:40 am
Follow Bruce Carton on Twitter: @brucecarton Follow Doug Cornelius on Twitter: @DougCornelius Slides: Web 2.0 - Leveraging New Media to Maximize Your Securities & Compliance Practice View more presentations from Doug Cornelius. [read post]
16 Feb 2009, 10:00 pm
Please join Bruce Carton, Editor of Securities Docket, and me for a webcast that will discuss the best new tools and strategies available to securities and compliance counsel and professionals. [read post]
