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Tag Archives: Business Integrity Alliance
The SEC’s ethics compliance system continues to be questioned with boldness
Is it of the private and public right to understand the operations and activities of the SEC with respects to honoring their Code of Ethics and maintaining Ethics Compliance? The Business Integrity Alliance believes it is. Read our latest Appeal letter to Chairman Schapiro.
Is your chief watchdog an esquire?
This Compliance & Ethics Profession article expands upon the stark difference, and often-conflicting roles, of an organization’s general counsel and chief internal auditor with respect to the application of law and ethics in the broader Governance, Risk, and Compliance systems of … Continue reading
Posted in Public Record
Tagged Boundless LLC, Business Integrity Alliance, Compliance and Ethics Professional, corporate directors, corporate governance, culture, Ethics, fiduciary agents, Governance, Internal Auditing, Is your chief watchdog an esquire?, Mark Rome, Michael Brozzetti, zEthics
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Is the U.S. SEC a Public Trust?
On May, 26 2011 the Business Integrity Alliance Chairman sent a correspondence to the Commission’s Chairman with respects to the Federal Government Code of Ethics and maintaining Ethics Compliance in duty to the Public Trust. Read a Copy of this Correspondence Here
Posted in Public Record
Tagged 11-06336-FOIA, Bounty Program, Business Integrity Alliance, Charles Grassley, Darrell Issa, David Becker, David Kotz, Dodd-Frank, ethics counsel, Freedom of Information Act, Mark Rome, Mary Schapiro, Michael Brozzetti, Section 21F, Shira Pavis Minton, u.s. sec, United States Securities and Exchange Commission, Whistleblower Awards, Whistleblower Rewards, William Lenox
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Is the SEC’s authority at risk of being null and void?
U.S. Public Corporations with a valid Ethics Compliance system may be shielded from the U.S. Securities and Exchange Commission rules under the principle of Qualified Immunity. The United States Constitution, the supreme law of the land, was written on only 4 pages in 1787. Now, over 200 years later we are entrenched in thousands … Continue reading
Current U.S. SEC Inspector General speaks the truth
“Specifically, we have issued investigative reports regarding a myriad of allegations, including claims of failures by the Division of Enforcement (Enforcement) to pursue investigations vigorously or in a timely manner, improper securities trading by Commission employees, conflicts of interest by … Continue reading
Most famous U.S. SEC enforcement director speaks the truth
“It’s a house you’ve got to tear down and build back up.” – Stanley Sporkin, Famous U.S. SEC Enforcement Director (retired) Source: Zachary Goldfarb. “At SEC enforcement unit, storied chief’s son makes a name.. ” Washington Post. July 6, 2010.
Former U.S. SEC enforcement attorney speaks the truth
“What we really need is a new paradigm for due diligence when it comes to fraud.” – Pat Huddleston, Former SEC Enforcement Attorney Source: John Buchanan. “It Could Happen to You.” Conference Board Review – Spring 2011
Former prosecutor of the U.S. attorney’s office speaks the truth
“It’s really about intentional opaqueness where transparency is legally required. It’s about taking steps to hide the true nature of transactions…” – George Terwilliger, Former Prosecutor of the U.S. Attorney’s Office Source: John Buchanan. “It Could Happen to You.” Conference Board … Continue reading
Business Integrity Alliance founded on april 16, 2010
The Business Integrity Alliance formed on April 16, 2010 with the vision to create a community that embraces the principle of good faith and fair dealing because this is the foundation of our U.S. Free Enterprise system. Our mission is … Continue reading
Posted in Public Record
Tagged Boundless LLC, Brozzetti, Business Integrity Alliance, Inc., Mark Rome, Michael Brozzetti, Rome, zEthics
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