Categories
Coffee and Regs

Special Episode: Spotlighting the Expect Miracles Foundation & Social Distance Challenge

Special Episode: Spotlighting the Expect Miracles Foundation & Social Distance Challenge

 
In this special episode, CSS’s Chief Revenue Officer Terence Faherty takes a break from compliance and sits down with the Managing Director of Stewardship at the Expect Miracles Foundation and Founder of The SamFund, Samantha Watson to talk about a dedicated commitment of the financial services community to bring meaningful resources to research and people impacted by cancer.

 

 

About Our Guest Speakers:

Terence Faherty has over 30 years’ experience in the financial technology, regulatory and banking industry living and working throughout the US and UK. Mr. Faherty is currently Chief Revenue Officer for Compliance Solutions Strategies (CSS). Previously, he was VP, General Manager for Broadridge’s revenue and expense management solutions focusing on helping clients apply solutions to help with transparency, efficiency and compliance in the Capital Markets/Trading arena. Mr. Faherty’s experience includes Managing Director of middle and back office technology companies, Milestone and MultiFonds. Mr. Faherty spent 12 years at SunGard BancWare as President and COO focusing on risk management, regulatory compliance and Basle II.
 


 

Samantha Watson is the Managing Director of Stewardship at the Expect Miracles Foundation and Founder of The SamFund. Sam is also a two-time young adult cancer survivor, diagnosed with Ewing Sarcoma in December of 1999 and with secondary Myelodysplastic Syndrome in April of 2001. She is proud to be an active member of the cancer community and a passionate advocate for young adult survivors throughout the country. Sam holds a BA from Brandeis University and an MBA in Mission-Driven Management from the Heller School for Social Policy and Management at Brandeis.

 
 

Categories
Compliance Kitchen

EU moves forward with Brexit Adjustment Reserve; SAP Settlement, OFAC and DOJ


This episode takes a look at EU’s declaration that it is moving forward with the Brexit Adjustment Reserve. We also touch on the recent SAP settlement with the US government in connection with the US sanctions regime.

Categories
The Ethics Experts

Episode 063 — Janine Yancey

In this episode of The Ethics Experts, Nick welcomes Janine Yancey, Founder & CEO at Emtrain, to the show.

Categories
Everything Compliance

Episode 80, the Vaccinated edition


Welcome to the only roundtable podcast in compliance. Today, we have a quartet of Matt Kelly, Jonathan Marks, Jonathan Armstrong and Jay Rosen for a deep dive into plethora of compliance topics. We end with a veritable mélange of rants and shouts outs.

  1. Jonathan ArmstrongJonathan Armstrong reflects on the SFO’s 0-11 record in trying individuals, after corp DPAs have been signed. Armstrong delivers a shout out to the BBC for their podcast series Lazarus Heist.
  2. Jonathan Marks talks about the intersection of governance, fraud and corporate culture. Marks has his most epic rant ever, directed at Bob Baffert who claims he has no idea how his Kentucky Derby winning horse was drugged.
  3. Jay Rosen reviews a recent AMI, Integrity Through Compliance podcast on healthcare issues in 2021. Rosen shouts out to the GOAT Tom Brady and his return to New England in the 4th game of the 2021 NFL season.
  4. Matt Kelly discusses the recent Biden Administration Executive Order on Cybersecurity. Kelly shouts out to Moderna for its covid vaccine.
  5. Tom Fox shouts out to the 10,000 New York Yankee fans who so voraciously berated the Houston Astros as cheaters during a recent trip to Yankee Stadium that it hurt the feelings of those same cheaters.

Additional Resources:
Matt Kelly blog post on Radical Compliance, Parsing Biden’s Cybersecurity Order 
See Cordery Compliance Client Alert, SFO Loses another case 
Listen to the AMI podcast Integrity Through Compliance: Episode 8: From Business Opportunities to Compliance Risks: Healthcare Expectations in 2021 
Jonathan Marks blog post on Board and Fraud, Governance, Fraud, and Corporate Culture: Sorting Through a Complicated Relationship 
The members of the Everything Compliance are:

  • Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com
  • Mike Volkov – One of the top FCPA commentators and practitioners around and the Chief Executive Officer of The Volkov Law Group, LLC. Volkov can be reached at mvolkov@volkovlawgroup.com
  • Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com
  • Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at armstrong@corderycompliance.com
  • Jonathan Marks is Partner, Firm Practice Leader – Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at marks@bakertilly.com

The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network.

Categories
Daily Compliance News

May 20, 2021 the Data Protection edition


In today’s edition of Daily Compliance News:

  • Data protection stupidity is no business strategy. (WSJ)
  • Panasonic Avionics whistleblower awarded $28MM. (WSJ)
  • Trump Organization under criminal investigation in NY. (WaPo)
  • Lithuanian central bank responds to Wirecard allegations. (FT)