In this special edition, I am pleased to cross-post a recent live event hosted by Sean Freidlin, Director Product Marketing at SAI Global. He hosted the third edition of SAI Global’s Compliance Book Club, featuring Robert Chesnut, author of Intentional Integrity. Sean’s Compliance Book Club is fast becoming one of the most listened to events in the compliance world. His interview with Robert Chesnut is great information for the compliance professional. Sean graciously allowed me to cross-post this interview as a podcast on the Compliance Podcast Network.
SAI Global’s Compliance Book Club is a community initiative that brings ethics, compliance, and risk professionals together around a book you’ll love, and invites everyone to participate in a live Q&A and discussion with the author. For the third meeting, and as part of our celebration of the fifth annual International Compliance Officer Day, we present “Intentional Integrity: How Smart Companies Can Lead an Ethical Revolution” by Robert Chesnut. In Intentional Integrity, Chesnut offers a six-step process for leaders to foster and manage a culture of integrity at work. He explains the rationale and legal context for the ethics and practices, and presents scenarios to illuminate the nuances of thinking deeply and objectively about workplace culture.
You can check out the original recording here. Check out the full panoply of SAI Global Ethical Leadership Articles and Resources here.
Day: October 7, 2020
In this episode we going explore “bullet-proofing” your FCPA acquisition due diligence, merger integration and the government’s recent revisions to the FCPA Resource Guide and Evaluation of Corporate Compliance Programs guidance. Gone are the days when the potential bribery and corruption risk of an acquisition can afford to be something assessed at the 11th hour or not at all. Successor liability stemming from undiscovered bribery activity can give rise to devastating financial consequences. Joining me today is Skadden Arps partner and FCPA luminary Gary DiBianco. Gary’s practice focuses on advising senior management and boards of directors faced with complex government or internal investigations.
Join us each week as we take a deep dive into the various forms of fraud across the world and discuss crime families, penny stock boiler rooms, international money launderers, narco-traffickers, oligarchs, dictators, war lords, kleptocrats and more.
Scott Moritz is a leading authority on white-collar crime, anti-corruption, and in the evaluation, design, remediation, implementation, and administration of corporate compliance programs, codes of conduct. He is also considered an authority in the establishment, training, and oversight of the investigative protocols carried out by financial intelligence, corporate security, and internal audit units.
In the Episode, I am joined by Mikhail Reider-Gordon, Managing Director of Institutional Ethics & Integrity at Affiliated Monitors. Mikhail’s areas of expertise include technology, privacy, cybersecurity, IP and accountability in artificial intelligence; the global anti-corruption and anti-money laundering regimes; media & entertainment; biotech and the life sciences; the public sector and international law. She is accustomed to working on extremely sensitive and high-profile matters, both nationally and internationally. In this episode, we explore those other professional service providers who enabled Wirecard in our bring Lawyers Guns and Money episode.
Some of the highlights include:
- Weekly news wrap-up on Wirecard
- Is EY at its Arthur Anderson moment?
- Who has potential lawsuits against EY?
- Is a Bundestag inquiry in the works?
- Will there be an EU-level inquiry into the German government response?
- Who were the Enablers?
- Why is now the time for lawyers to take a stand for the Rule of Law?
In this special five-part podcast series, I take a deep dive into the recent Herbalife FCPA Resolution. Over the next 5 podcasts Mike Volkov, Jay Rosen, Matt Kelly, Jonathan Marks and Jonathan Armstrong will all bring their own unique perspectives to this settlement. In this Part 3, Matt Kelly joins me to consider the role internal audit in this matter and the (non) actions of Herbalife’s Board of Directors.
Some of the highlights include:
- Internal Audit as window dressing does not good government make.
- How high up must internal audit push?
- What is the Board’s duty?
- Is there a Caremark claim against the Herbalife Board of Directors?
As the Voice of Compliance, I wanted to start a podcast which will help to bring both clarity and sanity to the compliance practitioner and compliance profession during this worldwide health and healthcare crisis. In this episode, I visit with EJ Marin, Director of Solution Engineering at Nakisa? We discuss the impact of the Coronavirus health crisis on organizational design.
Some of the topics include:
· The top issues in organizational design at this point in the Coronavirus health crisis.
· Where will org design be in 12 to 18 months?
· What are the compliance issues around these changes in org design?
For more information on Nakisa, click here.
Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.
In this two-part series we welcome back Mel Stanley, owner of First Woman, to reveal personal branding secrets that can help you stand out positively to colleagues, your network and new connections.
Mel shares some thoughts on how Compliance Officers can use personal branding to facilitate our human side being seen as part of our reputation with internal clients and how we as Compliance professionals can demonstrate our expertise without coming across as overly self-promotional or arrogant.
Mary asked Mel’s advice on how to determine if our personal branding is showing up right now as seen by others, to help with the process of developing our branding in the direction we wish. Mary shares with Mel and the audience what results she got following Mel’s advice, including an unintended benefit and accordingly recommends all listeners give it a try. Mel generously and graciously pulls off some impromptu workshopping for Mary which will provide valuable insights for all Great Women in Compliance.
We round off the episode with a what not to do to avoid sabotaging your carefully built up branding.
Join the Great Women in Compliance community on LinkedIn here.
Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode Matt and Tom go into the weeds to look at the recent fine of $920 million against JPMorgan for spoofing. Some of the issues we consider are:
- What is spoofing?
- How did the CFTC use data analytics to build their case?
- What does that mean for compliance professionals?
- How did the JPMorgan remediation of its compliance function reduce ?
- Once again, the DOJ demonstrates that robust remediation will pay great dividends in the form of a significant penalty reduction.
Resources
See Matt’s blog posts on Radical Compliance-JPMorgan’s Compliance Benefit
See also, David Michaels piece in the Wall Street Journal, JPMorgan’s Probe Revived by Regulators Data Mining
