As we head to Halloween, Tom and Jay reflect on some of the top compliance and ethics stories on the Happy Halloween edition.
Stories
1. More on Credit Suisse and Tuna bonds. Mike Volkov in Corruption Crime and Compliance. Tom in the FCPA Compliance and Ethics Blog. Tom and Matt Kelly in Compliance into the Weeds.
2. What is FARA. Jamie Rosenberg starts a 2-part series in Grand Jury Target.
3. Digital innovation and continuous improvement. Jim Deloach in CCI.
4. Banks and FinTech. Davis Polk lawyers in Compliance and Enforcement Blog.
5. What will happen to exec clawbacks? Aaron Nicodemus in Compliance Week. (sub req’d)
6. SARs and appalling inaction. Martin Kenney in the FCPA Blog.
7. Board readiness for shareholder activism. Paul DeNicola in Harvard Law School Forum on Corporate Governance.
8. Scrutiny of the Arts and Antiquities market. Linklaters client alert.
9. Hiding evidence from regulations costs KPMG in UK. Risk and Compliance Platform Europe.
10. The SEC on auditor independence. Matt Kelly in Radical Compliance.
Podcasts and Events
11. Compliance Week 2022 opens for registration. Sign up here.
12. Ethisphere’s World Most Ethical Company awards for 2022 are open for submission. For more information on the Application Process, click here.
13. Are you exasperated? Then check, F*ing Argentina. In this podcast series co-hosts Tom Fox and Gregg Greenberg, author of F*ing Argentina explore the current American psyche of being overworked, over leveraged, overtired and overwhelmed. Find out about modern America’s exasperation with well…exasperation. In Episode 7, a Malodor on the Subway.
14. This month on The Compliance Month, I visit with John Melican, Managing Director at Exiger on his journey to and from the CCO chair. In Episode 1, college and early professional career at NY County DA’s Office. In Episode 2, Melican moved into the corporate world and into compliance. In Episode 3, John moves into the CCO chair. In Episode 4, John talks about what he learned and how he uses that knowledge.
15. How does a Compliance Bible become a best-seller? Check out Tom’s appearance on the C-Suite Network’s Best Seller TV to find out. Purchase The Compliance Handbook, 2nd edition here.
Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.
