Lisa White

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Protein‐Packed Pancakes

6<p>EGGS<p>1 cup<p>ricotta cheese<p>1/2 cup<p>all-purpose flour<p>2 tbsp.<p>melted butter or vegetable oil<p>3/4 tsp.<p>baking powder<p>1/2 tsp.<p>salt<p>1/2 tsp.<p>vanilla<p>Yields: <b>4 servings</b><p>…

McDonald's Frozen Strawberry Lemonade

McDonald's Frozen Strawberry Lemonade<p>Author: CopyKat Recipes<p>Recipe Type: Copycat Restaurant Recipes, CopyKat Recipes, Drink Recipes<p>Prep time:<p>10 …

Webcast | Conflict Minerals Compliance - Best Practices for meeting regulatory requirements

Chief Compliance Officers: Are They Superheroes?

We all remember our childhood when we believed in the power of superheroes. Superman was someone I always admired. (I was a DC Comics fan, not a …

Essential Requirements For An “Effective” Ethics and Compliance Program

A client recently reminded me – “Mike, it is not just an ethics and compliance program, it is an “effective ethics and compliance program.” I always …

Employee Engagement

Compliance Program Failure

The SEC slapped a fund manager and its out-sourced CCO. The main charge was engaging in undisclosed principal transactions. Beyond that obvious …

Starting New Compliance Habits in 2014

One of my favorite books of 2012 was Charles Duhigg’s <i>The Power of Habit</i>. The book is full of interesting ideas and based on an impressive collection …

SEC Compliance Outreach Program National Seminar

The SEC’s Office of Compliance Inspections and Examinations (OCIE), Division of Investment Management, and the Asset Management Unit of the Division …

Compliance Lessons From My Dog

My dog has taught me a few lessons about compliance. (That’s me and Ghost taking a well-deserved nap.)<p><b>Start early</b>. We started dog training early to …

Get Ready for the SEC to Knock on Your Door

With the SEC’s presence exam initiative for new registrants and the Never-before-examined initiative for existing registrants, the odds have never …

Document Request List for Never-Before-Examined Advisers

In January, the Securities and Exchange Commission announced in its annual exam priorities for 2014 that it wanted to emphasize exams on never-before …

The SEC Endorses Yelp for Investment Advisers

Investment Advisers and the Securities and Exchange Commission have been struggling with the use of social media. Advisers see it as a way to …

Accredited Investor Verification

When Congress imposed a lifting of the ban on advertisements for private placements, it also imposed a mandate that the fundraiser “take reasonable …

Testing Your Compliance Program

<i>These are my notes, live from the conference.</i><p>One of the best tests is a mock exam. See how you stand up to simulated fire. It’s a good practice to …

Making Compliance Easier

At PEI ‘s Private Fund Compliance Forum, one attendee asked how to make compliance easier. That caught the room by surprise. If compliance was easy, …

Bad Actors on Form ADV and Under Rule 506(d)

The Securities and Exchange Commission has layered two tests for bad actors on to private fund managers. On Form ADV, the fund manager will need to …

Don’t Lie About Being GIPS Compliant

The Global Investment Performance Standards (GIPS) attempts to be a set of standardized, industry-wide principles that guide investment firms on how …

Comply With What?

The starting point for any compliance program is to determine what you are trying to comply with. Every company has some legal requirements or …

SEC Charges Private Equity Firm With Pay-to-Play Violations

The SEC has brought its first case under the pay-to-play rule for registered investment advisers. It’s just as horrible as I thought it would be.<p>The …

Workplace Monitoring: Privacy Threat or Productivity Booster?

Restaurant Stakeout: A Sign of the Times for Workplace Monitoring?<p>The last couple of times I passed by the TV to see what the kids were watching, I …

Hewlett Packard Enterprise Community - HPPSocialUserSignonPage - Hewlett Packard Enterprise Community

Increasing Risks of Fraud; Compliance Failures; A Willingness to be Unethical

• 06-30-2014 | 09:30 AM<br>• Author: Thomas O. Gorman<p>Cyber security, corruption and unethical behavior pose significant risks for business enterprises, …

2014 Trends: #5 Top Ten Privacy and Related Ethics & Compliance Issues

Trend number 5 is on the docket today (previous trends can be viewed here and here) as we move down our list of ethics and compliance trends to watch …

Compliance Communicator - January 2014

Q & A<p><b>Q: I just learned that a good friend of mine at work has been accused of sexual harassment and that an investigation is being launched. I can’t</b> …

The So-Called Re-Emergence Of Gifts, Meals And Entertainment As A Compliance Problem

Forgive me for taking the FCPA Paparazzi to task but when they deserve it, they deserve it.<p>A quick diversion — I often am asked by fellow bar members …

SEC Charges Investment Adviser With Improper Conduct in Two Proceedings

The Commission filed two settled administrative proceedings involving Western Asset Management Co., a subsidiary of Legg Mason, Inc. One centered on …

The Importance Of Corporate Value Statements To Compliance Programs

I always comment that we live in a world of ADHD – no one really focuses on anything these days. Instead, they pick and chose from the stream of …