Day: February 1, 2021

Categories
ComTech

Welcome to ComTech


 
In this new show on the Compliance Podcast Network, Tom Fox, the Voice of Compliance, and Valerie Charles of StoneTurn are going to be exploring the intersection of compliance and technology.
 

In this initial episode, Tom and Valerie share their plans for the show – who they want to talk to, what they want to explore, and the impact they hope to have on the industry. They also give some insight into how they got to where they are in their careers and how their appreciation and understanding of technology in the compliance space has evolved over the years.
Valerie explains that compliance isn’t really top-down, anymore – people are empowered to evaluate risk and make decisions accordingly. The best compliance people are creative in how they implement programs and strategies.
In the future, Tom and Valerie are going to be speaking to lawyers, CPA’s and audit types, and non-compliance people who come in and start working in technology – marketing, sales, entrepreneurs. The silos for compliance are gone, and Comtech is going to be digging deep into what that means.
Tune in every other Monday for another episode!
Resources
StoneTurn

Categories
The Ethics Experts

Episode 049–Sarah Badahman


In this episode of The Ethics Experts, Nick welcomes Sarah Badahman, CEO/Founder of HIPAAtrek, to the show to discuss the importance of organizational values, HIPAA compliance, and the lives of compliance leaders.

Categories
FCPA Compliance Report

Pamela Fierst-Walsh on Responsible Sourcing


In the Episode, I have back Pamela Fierst-Walsh, Senior Advisor for Conflict & Critical Minerals, Bureau of Economic and Business Affairs, U.S. Department of State. Pamela joins me to discuss the responsible sourcing initiatives from the former Administration and where we may be headed under the Biden Administration.
Some of the highlights include:

  1. What are your job duties as a Senior Advisor for Conflict & Critical Minerals, Bureau of Economic and Business Affairs, U.S. Department of State?
  2. What is responsible sourcing?
  3. What is the public/private partnership around this issue?
  4. Why is this seen as a national security issue?
  5. Is there an Executive Order on domestic supply chains relying on critical mineral sourcing from foreign Adversaries?
  6. What is the process for considering this issue? Are there plans in the works to deal or remedy this?
  7. What, if any, changes do you expect under the Biden Administration?
Categories
Daily Compliance News

February 1, 2021, the Big Boys edition


In today’s edition of Daily Compliance News:

  • The Big Boys dance to a potential Exxon/Chevron Merger? (WSJ)
  • Facebook finally gets a CCO. (WSJ)
  • Did Trump Administration so eviscerate the SEC it can’t respond to GameStop. (WaPo)
  • Ghosn Lt. on trial in Japan. (FT)
Categories
Coffee and Regs

Transaction Reporting Reflections & Readiness for EMIR REFIT & MiFIR

EMIR REFIT
In this episode, CSS’s Executive Advisor on Global Transaction Reporting Mikkel Mördrup sits down with Regulatory Specialist Nicklas Nilsson for a look back into the world of transaction reporting in 2020 – from uncertainties in the market to new regulations – and a look forward at changes to EMIR REFIT and MiFID II / MiFIR coming in 2022.

A CSS RegTech podcast series on moving from a tactical to strategic approach to regulatory compliance. The global regulatory space is complex and fragmented. Financial firms can address this problem through tactical responses to regulatory deadlines or think more strategically on how to optimize their compliance data, operations and technology. The CSS weekly podcast features regulatory experts, former Chief Compliance Officers, cybersecurity specialists, industry partners and RegTech collaborators to help prepare investment management firms for changes on the regulatory horizon. For more information on CSS, visit: www.cssregtech.com
 

About Our Guest Speakers:

Mikkel Mördrup is CSS’s Executive Advisor on Global Transaction Reporting. Mikkel has headed up CSS Nordic since 2010. After 20-plus years in the financial industry, Mikkel knows the value of combining quality and knowledge and has extensive knowledge from EMIR and MiFIDII/MiFIR. Prior to CSS, Mikkel worked at SimCorp with project implementations and account management. He has also held leadership positions at Nordea Bank and Danske Capital AB.
 

Nicklas Nilsson is a Regulatory Specialist at CSS concentrating on global transaction reporting, including SFTR, MiFIR and EMIR. Nicklas is currently in a cross-functional role covering the regulations from analysis to implementation. He has eight years of experience working in the finance industry, including operational experience in fund reporting and regulatory implementation. Prior to joining CSS, Nicklas held positions at Swedbank, SEB and Wahlstedt Sageryd.