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FCPA Compliance Report

Mike DeBernardis on Enforcement and Oversight in 2021

 
In this Episode of the FCPA Compliance Report, I am joined by fan fav and now Hughes Hubbard & Reed partner Mike DeBernardis. We take a look back at some of the early pronouncements from the Biden Administration and consider where both enforcement and regulatory oversight may be headed into the rest of 2021.   Highlights of this podcast include:

  1. What are the 3 top areas you and Hughes Hubbard are counseling clients to be aware of over the next few years?
  2. In addition to general areas the DOJ has signaled its interest in; other federal agencies are coming to life again. What should clients think about regarding expanded FTC, CFPB and CFTC oversight and enforcement?
  3. The pandemic changed the way many investigations are conducted. Other than Zoom interviews, did your substantive work really change in the areas of document review, background ETC?
  4. What about Board and senior management risk management issues. Has it changed or are these groups now focused on a broader set of risk management strategies?
  5. To the international arena. Are there any countries/regions you are watching more carefully than others in terms of ABC enforcement?

Resources 
Mike DeBernardis on the HughesHubbard website
Mike DeBernardis on LinkedIn

Categories
Daily Compliance News

May 3, 2021 the Bleak House Redux edition


In today’s edition of Daily Compliance News:

  • Chevron’s never ending litigation. (WSJ)
  • Basecamp steps in it. (WSJ)
  • CITGO 6 released to home arrest in Venezuela. (NYT)
  • Newsmax issues retraction. (NPR)
Categories
Sunday Book Review

May 2, 2021, the New in May edition


In today’s edition of Sunday Book Review:

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Daily Compliance News

May 1, 2021 the May Day edition


In today’s edition of Daily Compliance News:

  • Chris Cestaro departs FCPA Unit. (WSJ)
  • Siemens gets new CCO. (WSJ)
  • Roadblocks to tech upgrade in Federal Government. (WSJ)
  • EU accuses Apple of anti-competitive behavior. (NYT)
Categories
The Ethics Movement

Converge21 Workshop Edition- Phil Knight on Repeatable, Scalable Processes


Welcome to The Ethics Movement, special podcast series highlighting Converge21 The Workshop Edition. This podcast series will feature some of the speakers at the event. You can find out more information about the event and register here. In this podcast, I visit with Phil Knight, Senior Product Manager at Convercent who will help lead the discussion on the Workshop, Disclosure Automation is a Mindset. It Starts with Repeatable, Scalable Processes. In this podcast, we will lay the foundation for scaling your E&C program by building a repeatable process for conflict of interest management and why this is so important for the compliance professional.

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This Week in FCPA

Episode 250 – the Oh is Out edition


Jay is moving this week so he is 000. Tom takes a solo look at this week’s stories top compliance and ethics stories which caught his interest on This Week in FCPA. He is joined by special guests Dave Lefort to talk about the upcoming Compliance Week 2021 and Matt Kelly on Alex Oh. 

Stories

  1.  Alex Oh resigns. Matt Kelly in Radical Compliance.
  2. What are 3 top BOD priorities? Maria Motes in CCI.
  3. Why compliance must understand business process. Mike Volkov in Corruption Crime and Compliance.
  4. Post pandemic business resiliance. Jim Deloach in CCI.
  5. What is location risk? Atul Vashistha in CCI.
  6. Investor due diligence on modern slavery. Subodh Mishra in the Havard Law School Forum on Corp Governance.
  7. ComEd as a wake up call. Vincent Wu in the Global AntiCorruption Blog.
  8. May is Internal Auditors Month. Navez Global’s Ethics and Compliance Matters Blog.
  9. German ups its AML game. Risk and Compliance Platform Europe.
  10. Want insight in WFH procrastion? Dick Cassin says look to writers, in the FCPA Blog.

Podcasts and Events

  1. Tom and Megan Dougherty are doing a special podcast series around The Falcon and The Winter Soldier, currently streaming on Disney+. Check out Episodes 1&2, Episode 3, Episode 4, Episode 5. Episode 6 drops next week.
  2. This month on The Compliance Life, Tom welcomes Jonathon Kellerman. In Episode 1, Jonathon discusses the path he took to compliance. In Episode 2, he talked about his early professional career in healthcare compliance consulting. In Episode 3, he moves to the CCO Chair. In Episode 4, Jonathon looks down the road for what’s next in compliance.
  3. Join K2 Integrity on 6 May 2021 for a webinar, presented in Spanish, “Reputational Due Diligence for Companies and Investment Firms.” The team will discuss scenarios and cases in which reputational due diligence helped uncover hidden areas of risk and opportunities for our clients. Learn more and register here.
  4. Join Tom and Jay at Converge21, the Workshop Edition, click here. Best of all, its free.
  5. Join Jay and Tom at Compliance Week 2021. For information and registration, click here. Listeners to this podcast can receive a discount of $200 by using the code PODCAST599 at check out.
  6. CCI releases a new eBook, The FCPA Year in Review by the Compliance Evangelist, Tom Fox. You can obtain a copy here. Best of all its available at no charge.
  7. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, Eric Young joins Tom for a deep dive into the role of internal controls in a best practices compliance program.

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.

Categories
The Ethics Movement

Converge21 Workshop Edition- Tess Macapinlac on Embracing Data Privacy


Welcome to The Ethics Movement, special podcast series highlighting Converge21 The Workshop Edition. This podcast series will feature some of the speakers at the event. You can find out more information about the event and register here. In this podcast, I visit with Tess Macapinlac, Privacy Associate at OneTrust who will help the discussion on the Workshop, From Fear to Enthusiasm: Embracing Data Privacy with Confidence. Do not let fear of the unknown stop you from tackling data privacy. We’ll show you exactly where your weak spots are. It might even be fun!

Categories
Daily Compliance News

April 29, 2021 the Oh Out edition


In today’s edition of Daily Compliance News:

  • Disneyland reopening. (NYT)
  • Oh out at SEC. (Radical Compliance)
  • Biden and can-do unity. (Bloomberg)
  • Farewell to AOL and YaHoo!? (WSJ)
Categories
The Walden Pond

Data Driven Compliance with AB InBev’s Dheeraj Thimmaiah, Global Director of Ethics and Compliance


 
Dheeraj Thimmaiah is Global Director of Ethics and Compliance, heading Compliance Analytics at AB InBev. He is data-driven and passionate about innovation. Dheeraj is dedicated to spending close time with AB InBev’s users and customers because even if you have the best tools, your organization will not get far without an audience. He joins Vince Walden to share insights about his role and work at AB InBev.
 

 
BrewRIGHT is AB InBev’s advanced data analytics program, which has 15 different apps and compliance workflows in 60 different countries. BrewRIGHT continuously monitors compliance (which has been especially useful during the pandemic), assists in managing investigations, and allocates resources effectively. 
Dheeraj shares tips on how to get started on the analytics journey for compliance: ask yourself how you can control the uncertainties, identify the problems, and find a way to use technology as an enabler in building impact. 
 
Resources
Dheeraj Thimmaiah on LinkedIn 
AB-InBev.com
 

Categories
Across the Board

Ben Colton on SSGA 2020 Asset Stewardship Report


In this episode of Across the Board, I visit with Ben Colton- Global Co-Head of Asset Stewardship at State Street Global Advisors. He joins me to discuss the latest SSGA Asset Stewardship Report. Some of the highlights include:

  1. Key takeaways from the 2020 Report.
  2. How does SSGA uses its ‘voice and vote” to hold Boards accountable?
  3. The SSGA view on the need for corporate transparency on sustainability.
  4. Why is Board refreshment so critical?
  5. Where do companies need to be in 2025 on ESG and Diversity and Inclusion?

Resources
For a copy of the State Street Global Advisors 2020 Asset Stewardship Report click here.