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Everything Compliance

The Vaccinated Edition


Welcome to the only roundtable podcast in compliance. Today, we have a quartet of Matt Kelly, Jay Rosen, Tom Fox and special guest panelist Karen Woody for a deep dive into a potpourri of issues and topics. We end with a veritable mélange of rants and shouts outs.

  1. Jay Rosen looks at how independent integrity monitors can assist to continue to health care providers deliver health care services through furthering compliance objectives. Rosen shouts out to the Golden Boy Tom Brady in asked ‘will 8 be enough’ to get the chip off Brady’s shoulders.
  2. Tom Fox sits in this week to discuss continuing HP/Autonomy fight around HP’s disastrous acquisition of Autonomy back in 2011. The latest episode occurred with a UK court approved the extradition of former Autonomy founder Mike Lynch to the US to stand trial for criminal charges. Fox shouts out to Neil Gerrard for inventing the phrase ‘global amnesia’ for explaining why he lied in sworn testimony during the ENRC trial.
  1. Karen Woody sits in as a special guest panelist. Woody discusses the recent SEC enforcement action involving a SPAC and the Ackerman withdrawal of his SPAC purchase of Universal Music. Woody shouts out to second season of Ted Lasso.
  1. Matt Kelly considers the compliance lessons from the Tandy Leather SEC enforcement action. Kelly shouts out to restaurants requiring proof of vaccination of potential customers.
  2. Jonathan Armstrong discusses what is a Chumba Wumba attack. Armstrong shouts out to author Eric Carle.

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.
Resources
See Matt Kelly’s blog post on Radical Compliance on the Tandy Leather SEC enforcement action.

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12 O’Clock High-a podcast on business leadership

Plutarch’s Lives- Cleomenes and Giaus Gracchus


12 O’Clock High, a podcast on business leadership brings together stories from history, the arts and movies, research and current events to consider leadership lessons. In this episode, Richard Lummis and Tom Fox are on a 10-part summer series on leadership lessons from biographies found in Plutarch’s Lives. Each week we will pair an ancient Greek and Roman to learn about their lives, the comparison and contrast between the two men and what leadership lessons with might draw from their lives. In today’s episode we look at the Greek Cleomenes and Giaus Graccus.  Highlights include:
·       Introduction of Plutarch’s Lives as historical work.
·       Lives of Cleomenes and Giaus Graccus.
·       Comparison in the lives of Cleomenes and Giaus Graccus.
·       Land and Judicial reform in ancient Greece and Rome.
·       The role of the Plebians.
·      What leadership lessons can be drawn from the lives Cleomenes and Giaus Graccus.
Resources
Plutarch’s Lives by Bill Thayer

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Daily Compliance News

July 29, 2021 the Just Got Paid Today edition


In today’s edition of Daily Compliance News:

  • Former Glencore trader charged in corruption case. (WSJ)
  • Robinhood has insider trading investigation. (WaPo)
  • Dusty Hill passes. (Rolling Stone)
  • Should Exxon lobbying efforts be investigated? (Houston Chronicle)
Categories
Compliance Kitchen

Business Advisory Re: Hong Kong


The State Department issues a business advisory to caution U.S. businesses about emerging risks to their operations and activities in Hong Kong.  Listen in as the Kitchen brings you more details on this release.

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Great Women in Compliance

Jenna Waters: Cybersecurity and Compliance


Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.
In this episode, Lisa talks with Jenna Waters, Cybersecurity Consultant at True Digital Security.  Jenna has had a unique journey into compliance, as she enlisted in the Navy, was in counterintelligence, and then focusing on STEM in college.  Jenna talks about the responsibility of being in the intelligence field in national security, what it is like to lead a team as a young woman in the military and how she decided on her career path. She also discusses key things to keep in mind as an ethics and compliance officer as you look at data security, and the importance of appropriate, objective risk assessments.  She also distinguishes between cybersecurity and cyber-reactivity, and what that can mean for you and your organization – and how not preparing for cyberattacks can lead to reputational damage and loss of confidence by customers. And for those of you who are “Harry Potter” fans, we get into a discussion about which house and character each one would want to be (or would want, in Lisa’s case).
We hope that you enjoyed this episode and welcome any feedback you may wish to send in to gwicpod@gmail.com.
For those of you in the northern hemisphere, it is the season for beach reads and you may be traveling after a long break.  For your time off, you can pick up a copy (or download)  “Sending the Elevator Back Down: What We’ve Learned from Great Women in Compliance” (CCI Press, 2020).If you’ve already read the booked and liked it, will you help out other women to make the decision to leverage off the tips and advice given by rating the book and giving it a glowing review on Amazon?
As always, we are so grateful for all of your support and if you have any feedback or suggestions for our 2021 line up or would just like to reach out and say hello, we always welcome hearing from our listeners.
You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast.
Join the Great Women in Compliance community on LinkedIn here.

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Career Can D0

Have The Right Attitude with Svetlana Karakova


 
In this episode of Career Can Do, Mary Ann Faremouth chats with Svetlana Casanova, a candidate she placed. Svetlana’s story, Mary Ann says, “is a true example of how networking, the right mindset, with dedication, perseverance and a service orientation can overcome even the toughest of challenges.” 
 

 
Svetlana moved to the US due to her marriage and was trying to find a job. Mary Ann comments that her advanced education, her work experience, and her pleasant personality made her an excellent candidate. However, it was still difficult for her to find a suitable job. She accepted Mary Ann’s advice to take a temporary job to increase her chances of getting a permanent position, which she was able to secure afterwards. Unfortunately, she was laid off because of the pandemic. She kept in touch with her former employers, however, and when things got better at the company, they asked her to return in another position.
 
A positive attitude, flexibility, and good work ethic are the traits employers look for right now, Mary Ann says. Employees who try to make a contribution to the greater good of the company are the ones who will be rewarded. “Stay positive, work hard, network,” Svetlana advises listeners. “If you have to take a temp job, do it. Always go the extra mile and have gratitude.”
 
Resources
Faremouth.com
 

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Compliance Into the Weeds

First Energy Corruption Settlement


Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. This week Matt and Tom take a deep dive into the Deferred Prosecution Agreement entered into by First Energy company for its bribery of certain state officials in the state of Ohio, including the former Speaker of the House in Ohio. Some of the issues we consider are:

  • What were the underlying facts?
  • What were the bribery schemes involved?
  • How did the tax code facilitate the bribery?
  • What are the compliance program implications?
  • How does this fit into ESG? 

Resources
Matt in Radical Compliance
First Energy and Domestic Corruption Woes

Categories
Daily Compliance News

July 28, 2021 the Olympics Darkside edition


In today’s edition of Daily Compliance News:

  • When training becomes abuse. (WSJ)
  • New SEC Dir of Enforcement begins. (US News)
  • Biles pulls out due to mental health issues. (Houston Chronicle)
  • Vatican corruption trial begins. (FT)
Categories
The Compliance Life

Asha Palmer-Into the Chair and Beyond

 
The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Asha Palmer, CECO at Convercent.
Palmer discusses her decision to join Convercent—traditional CECO plus more. She believes that the profession must continue to go toward collaboration, conversation, and digitalization. Her belief is that CECOs must be seen as business partners and that technology will fuel and help drive that partnership. She concludes on why CECOs must start thinking about and approaching things differently.
Resources
Asha Palmer LinkedIn Profile
Convercent by One Trust

Categories
Compliance Kitchen

FDIC and 3rd Party Risks


The FDIC invites comments on proposed guidance to banking institutions on managing 3rd party relationships risks.  The Kitchen explores the timeline, applicability and what to comment on.