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Daily Compliance News: August 5, 2019, the Wells Fargo sick of being taken advantage of edition

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Post date August 5, 2019
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In today’s edition of Daily Compliance News:

Wells Fargo sick of being taken advantage of by vendors. (Dealbreaker)
What is a conflict of interest? When a charity directs its members to a top donor. (NYT)
US Soccer continues to discriminate against Women’s soccer. (WSJ)
Bubble wrap maker and its auditor under federal investigation. (WSJ)

Episode 440, Jesse Caplan on the DOJ Evaluation of Corporate Compliance Programs for Antitrust

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Post date August 5, 2019
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In this episode I visit with Affiliated Monitor’s Managing Director Jesse Caplan on the recently released DOJ Evaluation of Corporate Compliance Programs in Criminal Antitrust Investigations. Highlights from the podcast include:

How does this change the Antitrust Division Leniency Program?
Does your compliance program have an antitrust focus?
How should compliance professionals consider using this Evaluation?
How does this Evaluation fit in with Evaluation of FCPA Compliance Programs?

For a copy of the DOJ Evaluation of Corporate Compliance Programs in Criminal Antitrust Investigations, click here.

Tags antitrust

Trekking Through Compliance

Trekking Through Compliance-Episode 65 – Plato’s Stepchildren

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Post date August 4, 2019
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In this episode of Trekking Through Compliance, we consider the episode Plato’s Stepchildren which aired on November 22, 1968, Star Date 5784.

Compliance Takeaways:

Power corrupts and absolute power still corrupts absolutely, even in the 23^rd
Do you allow internal control over-rise?
What happens when senior management is in on the illegal conduct?

Tags Plato's Stepchildren, Star Trek TOS

Daily Compliance News

Daily Compliance News: August 4, 2019 Sunday Book Review edition

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Post date August 4, 2019
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In today’s edition Sunday Book Review edition of Daily Compliance News:

Fried and Justified-Mick Houghton
Bagehot-James Grant
Range-David Epstein
After the Fall: Tobias Buck

Tags Sunday Book Review

Trekking Through Compliance

Trekking Through Compliance-Episode 64 – The Tholian Web

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Post date August 3, 2019
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In this episode of Trekking Through Compliance, we consider the episode The Tholian Web which aired on November 15, 1968, Star Date 5693.4.
Compliance Takeaways:

How do you manage talent in your function?
What is smart risk in compliance?
Do you have to be nice to lead in compliance?

Tags Star Trek TOS, The Tholian Web

Daily Compliance News

Daily Compliance News: August 3, 2019, the let them eat cake edition

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Post date August 3, 2019
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In today’s edition of Daily Compliance News:
Wells Fargo does not only abuse customers but vendors as well. (WSJ)
PwC fined in Mexico. (MarketWatch)
Right wing groups want CITGO to go down. (Houston Chronicle)
FCR fines KPMG $6.1MM? (WSJ)

Tags compliance

Daily Compliance News

August 31, 2019- the old white guys edition

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Post date August 3, 2019
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In today’s edition of Daily Compliance News:

Most start-ups founded by 45 year old white males. (NYT)
Stellar information lands whistleblower award. (FCPA Blog)
Is the $12bn proposed by Perdue Pharma to settle enough? (WSJ)
SEC charges investment adviser to NFL players. (MarketWatch)

This Week in FCPA

This Week in FCPA-Episode 165– the Greinke to the Astros edition

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Post date August 2, 2019
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The Astros hit a home run on the last minute of the trading deadline by obtaining Zack Greinke and Jay asks just how insufferable Tom will be until the Astros win the World Series again (Hint: Very). While Tom gloats, he and Jay turn their collective eyes to some of this week’s top compliance and ethics stories.

Third parties are still the highest FCPA risk. So why are you still using them? Alexandra Gillies explores.
How to manage high-risk distributors? Mike Volkov with a 2 part series.
What is conspicuous integrity in the corporate setting? Shirin Ahlhauser explains.
What is cognitive governance? James Bone begins a 5-part series.
What is present responsibility and how does it related to debarment? Jay explains.
What are the disclosure and notification requirements when managing a crisis? Lawyers from Cleary Gottlieb explain.
Wonder if ethics and compliance still matter? Four Wachtel Lippon lawyers explain.
Why do you need social media compliance as part of your ethics and compliance program. John Horowitz tells us in Navex Global’s Ethics and Compliance Matter
Why the identification of high risk employees is critical. Jeff Kaplan explains.
Comings and goings in the DOJ Fraud Section. Dylan Tokar reports.
Our colleague Doug Cornelis participates in the annual 2-day, 192 mile Pan-Mass Bike Challenge which raises money for the fight against cancer. I hope you will join my again in supporting Doug by donating to PMC. Information on Doug’s ride, why he rides and donation button are all found here.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.

Tags compliance, FCPA

Compliance Man Chooses the Target

Episode 6: Due Diligence in High Risk Markets

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Post date August 2, 2019
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Welcome to Episode 6 of Compliance Man Chooses the Target with Tim Khasanov-Batirov. Our goal is to highlight matters that should be on agenda of practitioners that deploy compliance programs in industries or countries of active FCPA enforcement. In this episode, we will target three specific matters that you might like to address in the course of implementation of your compliance program. Today we will focus on Due Diligence in high risk markets.
Join me for the next episode of Compliance Man Chooses the Target with Tim Khasanov-Batirov.
Learn more compliance tips from Tim Khasanov-Batirov at: http://complianceinpostussr.com/ & http://complianceinpostussr.com/blog/