A man who has been on both sides of the fence, as well sitting on the fence itself when it comes to fraud investigation, Guido Van Drunen has a great wealth of experience with plenty of information to share in today’s episode!
From running investigations in South Africa, Madagascar, Greece, United States, The EU and more we cover a vast list of mistakes to avoid and tips to use while running your own fraud investigations.
Listen in at: http://www.jasonmefford.com/jammingwithjason/
Day: May 10, 2021
In todays episode we’re joined with Robert Berry to discuss how to ask better questions. By asking better questions we will end up getting better answers which will allow us to perform better audits.
From overcoming the fear of looking stupid or the fear of failing, to taking an interest in the people around you, you will be able to communicate better with others and thus ask better questions and advance your career!
To get all of the secrets for how to ask better questions, get better answers, and perform better audits, get a copy of Robert’s book at: https://thatauditguy.com/ask-get-perform-book/ reach out to him on LinkedIn or through his website: https://thatauditguy.com/
Listen in at: http://www.jasonmefford.com/jammingwithjason/
Categories
Get Out of the Echo Chamber
You’re in an echo chamber and probably don’t even realize it. In this #JammingwithJason #podcast episode we look into how your echo chambers are probably holding you back in realizing your potential, and how you can break free.
I’m also sharing some thoughts on the recently released 2021 North American Pulse of #InternalAudit report. Take a listen and then read the report for yourself. Choose what to believe and what not to believe. Most importantly, make your own decisions and stop letting other people tell you what to believe and what to do.
True freedom comes when you free your mind.
Listen in at: http://www.jasonmefford.com/jammingwithjason/
In this episode, we touch on the recent guidance issued by the UK’s export controls unit that concerns military and controlled technology exports. Next, we look at the Commerce Department’s addition of Chinese “supercomputing” companies to the BIS List.
The Facts on FINRA & Capital Acquisition Brokers
In this episode, CSS’s Director of Broker-Dealer Services and a former regulator, John Gentile and Executive Director, Jackie Hallihan sit down to discuss FINRA’s rule book regarding capital acquisition brokers. These are broker-dealers that limit their business to certain capital raising, mergers and acquisitions and corporate financing activities, so before you go down that regulatory path, it’s important to understand the rules and the benefits of CAB registration.
About Our Guest Speakers:
John Gentile is responsible for overseeing various types of broker-dealer and investment adviser consulting engagements, including conducting SEC/FINRA internal control reviews, anti-money laundering testing, written supervisory policy and procedures testing, and other consultation services. John is a frequent speaker at industry conferences on various compliance topics, including “Effective Supervision,” “Large Firm Testing,” FINRA Supervisory Control Rules” and “Anti Money Laundering Requirements for Broker Dealers under the PATRIOT Act.” In 1987 John joined the SEC as a Securities Compliance Examiner, becoming a Branch Chief in 1991. He became Assistant Regional Director in 1993, supervising a team of 20 broker-dealer managers and examiners. He also planned and conducted financial, operational, and sales practice examinations of the largest broker dealers and was among those responsible for a review of hedge funds’ impact on broker dealer internal controls. Before joining the SEC, John was a Financial Damage Analyst with PaineWebber Inc. Most recently from 2000-2007 John was an Executive Consultant, Broker-Dealer Services, at National Regulatory Services. John has an MBA from Fordham University and a BS in Finance from Central Connecticut State University. From 1995 to 2002, John was also a member of the Securities Industry Continuing Education East Coast Content Committee.
Jackie Hallihan is the Co-Executive Director of CSS’s Compliance Services team and has over 25 years’ regulatory and risk management experience. She was the founder of National Regulatory Services (NRS) which started the compliance resource business and served as its President for over 20 years. She also founded the National Society of Compliance Professionals (NSCP), a non-profit organization for compliance officers, staff and lawyers serving the compliance industry. It now boasts over 2000 memberships. Jackie has been a leading speaker to compliance professionals, including in-house training programs and various other industry association conferences, and has received numerous industry awards. Jackie also serves as Director, Clerk of the New England Broker Dealer Investment Adviser Association (NEBDIAA), a non-profit organization, incorporated in 1997. The purpose of NEBDIAA is to provide a forum for the professional exchange of information among investment advisers, broker dealers, and persons who provide services to investment advisers and broker dealers, and to direct communication among its members which will improve their ability to serve the needs of their respective clients. The forum will help NEBDIAA’s members meet the increased regulatory demands placed on investment advisers, broker dealers, and persons who provide services to investment advisers and broker-dealers.
Welcome to a special five-part podcast series sponsored by K2 Integrity. This month we consider the intersection of compliance, diligence and mergers & acquisitions (M&A). I am joined by Hannah Coleman, Managing Director in K2 Integrity’s Investigations and Risk Advisory practice. She specializes in fast-moving, complex, and specialized research assignments in a variety of areas including investigative due diligence, corporate contests, intellectual property investigations, media transparency assessments, and litigation support. Also joining this week’s series is Tom Pannell, Managing Director in K2 Integrity’s Investigations and Risk Advisory practice. With a focus on financial investigations, Tom leads multi-disciplinary teams working with corporate clients and their legal advisors responding to crisis events, including multi-jurisdictional white-collar crime, misconduct, financial statement fraud, anti-bribery and corruption incidents, and compliance risk advisory work. In this first episode, I visit with Hannah on issues relating to core due diligence issues.
Join us in our next episode where consider concerns in today’s deal making scene.
For more on K2 Integrity, check out their website, here.
Categories
Joey Seeber, Part 1
In this Episode of the FCPA Compliance Report, I am joined by Joey Seeber, CEO of Level Legal, an alternative legal services provider with a wide range of talented skills. We explore how an alternative legal service provider can act as an adjunct to an in-house corporate legal team, compliance function or law firm. In this Part 1, we look at Seeber’s professional background, his time in politics, the founding of the company and its early days. Some of this episodes highlights include:
- What led Seeber to run for public office and why the mayor of Tyler?
- What were some of the key leadership lessons Weeber learned as Mayor?
- What were a couple of Seeber’s top challenges/successes as Mayor?
- What led Seeber to found Level Legal?
- What makes the Level Legal approach different?
- Why is Level Legal a ‘Boundary Pushers’ in the legal space?
- Why is building long term relationships so critical to Level Legal success?
- What are some of Level Legal’s biggest successes to-date?
Join us for Part 2 on Wednesday, May 13.
Resources
Level Legal website
Joey Seeber on LinkedIn
