• What to Expect In 2016 Examinations

      From the Desk of Jim Eccleston at Eccleston Law LLC: In considering the priorities for the upcoming year, The Office of Compliance Inspections and Examination (OCIE) of the SEC seeks to prevent potentially heightened risk for investors and the market in general. After consulting Commissioners, senior staff in SEC regional offices and divisions, and fellow regulators, OCIE de ...

      Eccleston Law Offices- 1 readers -
  • LegalTech NYC 2016: Best Swag Edition

    As another year passes, another LegalTech NYC. And as is tradition, the post you’ve been waiting for – the third annual LegalTech NYC Best Swag article. For the past few years, I’ve realized there isn’t much to say about LegalTech for solos and small firms – it’s a conference with some CLEs and some exhibitors primarily geared towards an audience of Biglaw and in-house counsel.

    Andrew Cabasso/ Jurispage- 6 readers -
  • Compliance Officers: Heroes or Targets?

    Compliance Officers: Heroes or Targets? February 6, 2016 by Brian Mahany Compliance officers are getting a lot of press these days. Not all of it good. A series of recent enforcement actions found individual compliance officers personally liable for the misdeeds of their company. A recent Wall Street Journal article says that some folks are so frightened that they are leaving the profession.

    Due Diligence- 8 readers -
  • Homeless Whistleblower Gets $140,000!

    Homeless Whistleblower Gets $140,000! February 6, 2016 by Brian Mahany Anyone Can Be A Whistleblower And Receive An Award – ANYONE! Just Ask Matthew Hay-Chapman We have long said that whistleblowers are the new American heroes. Most of the folks we encounter are hard working women and men who grow tired of seeing fraud, greed and corruption in their work place.

    Due Diligence- 5 readers -
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