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Daily Compliance News

Daily Compliance News: December 16, 2024 – The Not Paying Musk Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the Daily Compliance News—all from the Compliance Podcast Network. Each day, we consider four stories from the business world: compliance, ethics, risk management, leadership, or general interest for the compliance professional.

  • McKinsey hit with $650MM for opioid work, fraud. (Reuters)
  • Not Paying Musk could cost Tesla $100MM. (FT)
  • Return to the Office (or else). (WSJ)
  • Another whistleblower was found dead. (BBC)

For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here.

Check out the entire 3-book series, The Compliance Kids, on Amazon.com.

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All Things Investigations

All Things Investigations – Mike Huneke on Navigating Uncharted Waters: Compliance Strategy in a Changing Administration

Welcome to the Hughes Hubbard Anti-Corruption & Internal Investigations Practice Group’s podcast, All Things Investigation. In this podcast, host Tom Fox joined Mike Huneke to explore the impact of the recent election on corporate compliance and enforcement.

Key topics include the continuity of corporate enforcement, the focus on national security in anti-corruption efforts, and the implications of U.S. policies on business operations in China. The dialogue also highlights the importance of a holistic and multidisciplinary approach to risk management and the need for corporations to engage in public policy discussions proactively. Mike provides a nuanced perspective on how businesses can navigate the evolving regulatory environment through detailed analysis and real-world examples.

Key highlights:

  • Corporate Enforcement Trends
  • FCPA Enforcement Policies
  • China Policy and Business Implications
  • Holistic Risk Management Framework
  • Proactive Public Engagement

Resources:

Hughes Hubbard & Reed website

Mike Huneke

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FCPA Compliance Report

FCPA Compliance Report – The Art of Influence and Leadership: Insights from Jennifer B. Gardner

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom welcomes Jennifer B. Gardner, a seasoned trial lawyer and expert in leadership and influence. She shares her unique professional journey, from running her law practice to becoming a master storyteller in the courtroom.

Jennifer delves into the importance of emotional intelligence, right-brain communication in influencing and persuading, and the necessity of understanding human psychology to lead and connect with diverse audiences effectively. Jennifer also sheds light on how these skills translate into the corporate compliance world, emphasizing the power of crafting messages that resonate emotionally and using simple, compelling language.

She offers practical tips on combining data with storytelling, understanding one’s audience, and developing resilience in high-pressure situations. Whether you are a compliance officer, lawyer, or business leader, Jennifer’s insights provide valuable strategies for becoming more influential and effective in your professional role.

Highlights in this episode:

  • Jennifer’s Journey into Law and Leadership
  • The Power of Influence in Law
  • Applying Influence in the Corporate World
  • The Art of Storytelling in Legal Cases
  • Somatics and Leadership
  • The Importance of Self-Awareness and Mindfulness
  • Exploring the Art of Influence Program

Resources:

Jennifer B. Gardner on LinkedIn

Gardner and Associates Law Firm

The Art of Influence

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

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Sunday Book Review

Sunday Book Review: December 15, 2024 – The Top Leadership Books from 2024 Edition

In the Sunday Book Review, Tom Fox considers books that would interest the compliance professional, the business executive, or anyone who might be curious. These could be books about business, compliance, history, leadership, current events, or anything else that might interest Tom. This month of December, we will review the top books in some key areas of interest for compliance professionals. This week, we will review four books on leadership from 2024.

  • Atomic Habits by Nick James Clear
  • Start with Why by Simon Sinek
  • Trust and Inspire by Stephen Covey
  • The Culture Code by Daniel Coyle

For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here.

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10 For 10

10 For 10: Top Compliance Stories For the Week Ending December 14, 2024

Welcome to 10 For 10, the podcast that brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance, brings you the compliance professional and the compliance stories you need to know to end your busy week. Sit back, and in 10 minutes, hear about the stories every compliance professional should remember from the prior week. Every Saturday, 10 For 10 highlights the most important news, insights, and analysis for the compliance professional, all curated by the Voice of Compliance, Tom Fox. Get your weekly filling of compliance stories with 10 for 10, a podcast produced by the Compliance Podcast Network.

  • South African politicians slam token fine levied on McKinsey. (FT)
  • South African government is not working with McKinsey for the G-20.  (Bloomberg)
  • Fifth Circuit invalidates NASDEQ diversity requirements. (Reuters)
  • Ex-Trafigura COO says he was negligent, not criminal.  (Bloomberg)
  • Senators asked TD Bank to release the investigation results. (WSJ)
  • Former TD Bank employee charged.  (CNN)
  • Continued robust export control enforcement is predicted. (WSJ)
  • Patagonia fighting forced labor through exploring ‘atomic make-up’ of clothing. (WSJ)
  • Appeals Court upholds law requiring the sale of TikTok. (Reuters)
  • Methode discloses FCPA investigation. (MSN)

For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here.

You can check out the Daily Compliance News, which features four curated compliance and ethics stories each day, here.

Check out the entire 3-book series, The Compliance Kids, on Amazon.com.

Connect with Tom 

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Because That's What Heroes Do

Deep Space 9 – Episode 19: Exploring ‘Far Beyond the Stars’ – Themes of Racism and Reality in DS9

Get ready for an exciting new season of Because That’s What Heroes Do. This season, they take a deep dive into their favorite 15 episodes of Deep Space 9. In this exploration, Tom and Megan are joined by Star Trek maven Alex Murphy (Murphy) from Montreal, a local historian, cinema, and TV fan who loves weird foreign films, all things horror, and obscure media. He has been watching Trek since he was a tiny punk, and it’s been a lifelong love. The team reviews the Far Beyond the Stars of Star Trek: Deep Space Nine, one of Tom’s all-time favorite episodes.

In this episode, Captain Sisko finds himself experiencing life as a Black science fiction writer in 1950s Harlem. The narrative explores themes such as racism, the struggles of following one’s dreams versus societal expectations, and the nature of reality itself. Through a blend of science fiction and social commentary, the episode offers a unique lens into character reimaginations and their inherent traits drawn from DS9’s universe. The podcast delves into the contrasts and similarities of characters’ alternate personas, the social challenges of the 1950s, and the continuous, layered test presented to Sisko by the Prophets.

Key highlights:

  • Exploring the Story of Benjamin Sisko
  •  Themes of Racism and Society
  • Murphy’s Analysis of Character Personas
  • The Penance of Benny Russell
  • Sisko’s Eternal Test of Loyalty
  • Comparing Madness: Sisko vs. Dukat

Resources:

Megan Dougherty 

LinkedIn

One Stone Creative

Twitter

Tom 

Instagram

Facebook

YouTube

Twitter

LinkedIn

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Kerrville Weekly News Roundup

Kerrville Weekly News Roundup: December 14, 2024

Welcome to the Kerrville Weekly News Roundup. Each week, veteran podcaster Tom Fox and his colleagues Andrew Gay and Gilbert Paiz get together to go over a couple of their favorite stories from the past week from Kerrville and the greater Hill Country. Sit back, enjoy a cup of morning coffee, and listen in to get a wrap-up of the Kerrville Weekly News. We each consider two of our favorite stories and talk about the upcoming weekend’s events, which we will enjoy or participate in this weekend.

In this episode, Tom takes a solo turn to examine some of the things that caught his attention over the past week.

Stories include:

  • Lots of Christmas events in Kerrville
  • KPUB provides update
  • Trout fishing in Kerrville
  • Sneezin’ Season in the Hill Country
  • Schreiner University names new VP of Enrollment Management

Resources:

Tom Fox on LinkedIn

Gilbert Paiz on LinkedIn

Andrew Gay on LinkedIn

Texas Hill Country Podcast Network

The Lead

Kerrville Daily Times

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All Things Investigations

All Things Investigations: FCPA Alert Week Sam Salyer on Highlights and Trends from the 2024 FCPA Alert

Welcome to the Hughes Hubbard Anti-Corruption & Internal Investigations Practice Group’s podcast, All Things Investigation. This week, we will feature five lawyers from HHR to introduce the firm’s always popular and annual FCPA and Anti-Bribery Alert. In part 5 of the 5-part series, host Tom Fox is joined by Sam Salyer on some key trends and highlights in enforcement and compliance from 2024.

Tom and Sam explore the smaller number of corporate enforcements and the significance of four individual trials, including the notable Myrta and Aguilar cases. Sam elaborates on the DOJ’s updated Evaluation of Corporate Compliance Programs (ECCP), emphasizing the importance of emerging risks and technology. They also delve into the DOJ’s new whistleblower program, its implications for internal compliance professionals, and the potential effects of the recently signed Foreign Extortion Prevention Act. This episode is a comprehensive wrap-up for compliance officers and legal professionals aiming to stay ahead in 2024.

Key highlights:

  • Enforcement and Compliance in Brazil
  • Enforcement in France and the Success of the Paris Olympics in Compliance
  • ESG for US companies under the Trump Administration

Resources:

Hughes Hubbard & Reed website

2024 Fall FCPA and Anti-Bribery Alert

Sam Salyer

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Compliance Tip of the Day

Compliance Tip of the Day – Using AI for Continuous Monitoring

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance professional or just starting your journey, we aim to provide bite-sized, actionable tips to help you stay on top of your compliance game. Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law. Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

Today, we consider how AI allows compliance to take a proactive, data-driven approach to emerging risk analytics.

For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here.

Check out the entire 3-book series, The Compliance Kids, on Amazon.com.

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Classroom Insiders

Classroom Insiders, Season 2 – Exploring the Complexities of SEC vs. OBIS and the Misappropriate Theory

Welcome to Season 2 of Classroom Insiders, a podcast with Professor Karen Woody and her Insider Trading Seminar students from Washington and Lee University. They explore the arc and evolution of insider trading over the last century. Each episode will feature a discussion between Karen Woody and students about insider trading and regulation. Find out what the future lawyers of the university think about past and current legislation and learn more about this fascinating area of law.

In this episode of Classroom Insider Season 2, Professor Woody chats with Noah Gallagher and Ahmed. Together, they explore the intricate details of the famous insider trading case, SEC vs. OBIS. The episode dives into the initial allegations, the roles of various individuals involved, and the complex theories of insider trading used in the case, including the classical and misappropriation theories. The discussion also highlights the various legal challenges and court rulings that shaped the case’s outcome, mainly focusing on fiduciary duty, personal benefit, and scienter requirements.

Listeners will understand how the courts handle insider trading cases and the nuances that legal practitioners face. Noteworthy is the conversation on the impact of the court’s interpretations on the personal benefit test and how this case stands about the broader legal landscape of insider trading.

Key highlights:

  • Overview of SEC vs. OBIS Case
  • Details of the Insider Trading Allegations
  • Theories of Insider Trading Explained
  • Court Proceedings and Initial Rulings
  • Appeal and Trial Outcomes
  • Implications and Legal Interpretations

Resources:

Washington and Lee School of Law

Professor Karen Woody