Archive for May, 2013

May 31st, 2013

Do We Need More Do Diligence?

Do We Need More Do Diligence? How much due diligence do we need?  What sort of due diligence do we need?  What do we need to get to make sure […]

May 31st, 2013

An Exercise in Business Continuity

An Exercise in Business Continuity In a  conversation with a senior officer of a large university we discussed operational continuity and what is important. It gave me a lot to […]

May 31st, 2013

Dining Out

Dining Out Our charges often wish to dine out, either as part of entertaining or they are traveling. Handling this common event is easy if you follow a few rules […]

May 31st, 2013

AML and The Securities Industry

AML and The Securities Industry The securities industry is in for a very rude and expensive awaking.  The securities markets, commodities markets, and hedge funds are being used to launder […]

May 31st, 2013

Be Prepared for the Subpoena

Be Prepared for the Subpoena A good investigator was surprised that on a small domestic relations case – all of his records were subpoenaed in an overly broad overreaching subpoena. […]

May 31st, 2013

“Old MacDonald” of Sanctions Compliance and Customer Due Diligence

“Old MacDonald” of Sanctions Compliance and Customer Due Diligence If you are keeping score, it seems that Sanctions Compliance is a bit like the old nursery rhyme Old MacDonald Had […]

May 31st, 2013

The Drugstore Cowboy and Compliance

The Drugstore Cowboy and Compliance One does not have to look very far in the business world to come across the phrase “Know Your Customer.” A company certainly needs to […]

May 31st, 2013

Yemen – The Unknown Arabia

Yemen – The Unknown Arabia by Tim Macintosh-Smith  ISBN 1-58567-001-4  Published at $35.00 by Overlook. I was wandering through a used book store in Prescott, Arizona.  We had just finished […]

May 1st, 2013

The Last Remake of Due Diligence

The Last Remake of Due Diligence • 2008 – HOT TOPIC, TRENDING NOW SERIES. BEING PROACTIVE. As the new regulatory regime takes hold with increasing requirements for due diligence. (Thompson […]

May 1st, 2013

OPSEC and IPCI, You’re Never Too Small.

OPSEC and IPCI, You’re Never Too Small. Is it fair that the large and the well moneyed companies steal a start-up company’s IPCI? Fairness does not matter, this is what […]