Day: December 16, 2020

Considerations When Hiring a Monitor

Post author By admin
Post date December 16, 2020
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In this podcast, I am joined in this podcast series by Jay Rosen, the Vice President of Business Development and Monitoring Specialist at Affiliated Monitors, Inc. Today, we look at considerations when hiring a monitor.
Some of the highlights from this podcast include:

Considering the type and style of the monitor in your selection process.
What is the expertise of the monitor, not simply in the subject matter but concluding monitorships?
Balancing the interests of the regulator, the company and other stakeholders.
Making sure that the monitor is bringing value to the company.
Why a Monitor must be independent and conflict-free.

I hope you will join us tomorrow for Part 5, where we discuss the issue of costs when retaining a monitor.
For additional reading see Jay Rosen’s article What Issues Should a Company Consider When Hiring a Corporate Monitor? on Corporate Compliance Insights.
For more information on Affiliated Monitors, Inc. visit their website here.

Tags monitors

The Wirecard Saga

Who Watches the Watchers?

Post author By admin
Post date December 16, 2020
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Welcome to the latest edition to the Compliance Podcast Network, The Wirecard Saga. In this series, I am joined by Mikhail Reider-Gordon, Managing Director of Institutional Ethics & Integrity at Affiliated Monitors. In this episode, we take a deep dive into the conflicts of interest by German regulators who were investing in Wirecard while (allegedly) regulating it, EY clams up, whistleblowers and investigating crimes or not; all in the Who Watches the Watchers edition.
Some of the highlights include:

Current events;
Head of APAS invests in Wirecard and the Investigative Committee is Astonished;
What is a Conflict of Interest after all and does hindsight affords clear vision?
EY is certainly economical with the truth;
Germany’s two-tier system, drowning in risk pools and regulators don’t read;
Whistleblowers galore (but not enough for the 12 Days of Christmas);
BaFin-detecting crime is not our remit; and
What were all the missed opportunities.

Tags BaFin, EY, Wirecard

¡(H)Ola Compliance!

¡(H)Ola Compliance! Episodio 7: Resolución Vitol y riesgos de contratación de terceros

Post author By Miller & Chevalier
Post date December 16, 2020
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En este episodio de ¡(H)Ola Compliance!, Matteson Ellis y Alejandra Montenegro Almonte discuten la nueva resolución entre el Departamento de Justicia de los EEUU y la empresa Vitol. Matt y Alejandra analizan la resolución y resaltan puntos claves. Come siempre, comparten lecciones aprendidas para oficiales de cumplimiento.

Apple Podcasts * Spotify * Amazon Music * Google Podcasts * Stitcher
Preguntas? Contáctenos en podcasts@milchev.com.
¡(H)Ola Compliance! no tiene la intención y no se puede considerar como asesoramiento legal; el contenido solo refleja los pensamientos y opiniones de sus anfitriones.
¡(H)Ola Compliance! explora la ola de cumplimiento de anticorrupción que ha surgido por Latinoamérica. Inmerso en su cariño para la región, Matteson Ellis y Alejandra Montenegro Almonte (Socios de Miller & Chevalier), navegan las aguas de regulaciones de cumplimiento corporativo desde sus oficinas en Washington, DC y trazan las normas de anticorrupción que afectan a la región. A la vez destacan los desafíos y oportunidades que enfrentan las empresas comprometidas a la ética. ¿Te sientes que estás nadando contra la corriente? ¡Entonces tome la ola de cumplimiento en ¡(H)Ola Compliance!

Tags Vitol

Compliance and Coronavirus

Kevin Foster on the Importance of Values Based Ethics During COVID-19

Post author By admin
Post date December 16, 2020
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Welcome to the one of the newest additions to the Compliance Podcast Network, Compliance and Coronavirus. In this episode, I am joined by Kevin Foster, founder of Business Ethics Advisors. Foster discusses how he lost his ethical way and eventually went to prison over some real estate transactions. In prison he vowed to help educate the white-collar professional on how to avoid stepping over the ethical line by teaching values based ethics and how to know when to walk away.

What led to your ethical crisis and eventually prison?
What led you to found BEA?
What is the Ethics Toolkit of BEA?
Why is ethical leadership even more important in the Covid-19 world?
Why do you say that for a white-collar professional, what you don’t know can hurt you?

Resources
Business Ethics Advisors
Kevin Foster on LinkedIn

Tags Kevin Foster

Great Women in Compliance

Mary Shirley, Original GWIC

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Post date December 16, 2020
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Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.
There is a lot to reflect on as we end 2020, and with all of the challenges of the year, it has been a landmark one for the Great Women in Compliance podcast and now the book. When reflecting on the final podcast for 2020, Lisa wanted to do something to commemorate this – and realized that she had never interviewed the person who she sees as the original GWIC, Mary. So, here is a discussion with Mary about things that are important to her, starting with her experience in 2020 both personally and professionally.
Mary has started a new role at Fresenius – Head of Culture of Integrity and Compliance Education, and she talks about what this means to her and her goals and objectives for this new opportunity, and her 2021 planning and whether it was impacted by the events of 2020.
Lastly, for anyone who knows Mary, she likes to be prepared for everything. So Lisa decided to turn that on its head and give her what they called a “lightning round” where Mary had no idea what questions Lisa would be asking and called for quick answers.
We hope you enjoy this last episode of 2020 and GWIC will be back in 2021.
Have you heard that the Great Women in Compliance Book, Sending the Elevator down is now available in an electronic version? Head to Amazon to get your copy today!
If you’ve already read the booked and liked it, will you help out other women to make the decision to leverage off the tips and advice given by rating the book and giving it a glowing review on Amazon?
As always we’re so grateful for all of your support and if you have any feedback or suggestions for our 2021 line up, or would just like to reach out and say hello, we always welcome hearing from our listeners.
Join the Great Women in Compliance community on LinkedIn here.

Tags Original GWIC

Compliance Into the Weeds

Leadership Failures at Ft. Hood, with Special Guest Diane St. Ives

Post author By admin
Post date December 16, 2020
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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. Today we take on a much more somber topic and set of facts in this, our 201st episode. We have our first guest, Diane St. Ives, a retired US Army officer now practicing law in Houston. Diane is also a Director of the State Bar of Texas.
Matt, Tom and Diane consider the recent US Special Commission Report on leadership and culture failures in the areas of sexual harassment and assault which have occurred at Ft. Hood. These issues were brought to a head with the sexual assault and brutal murder of Specialist Vanessa Guillén, who disappeared on April 22. She was murdered by a fellow soldier, who killed himself in June when he escaped Army investigators taking him into custody.
Some of the issues we consider are:

What were and are the continuing failures of leadership at Ft. Hood in these areas?
Why is the SHARP program simply window dressing?
What will it take to make a change?
Our Guest Diane St. Ives relates her personal experience of being sexually harassed over 40 years ago while a Private at Ft. Hood. She talks about the retaliation she received for reporting the crime and how it all still affects her today.
What can be some of the solutions for this situation and how can compliance principles help turn around a continuing culture of misogyny in the Army.

Resources
For more information see Matt’s blog post in Radical Compliance:
Leadership Failures at Ft. Hood