As TrumpLand continues to live in fantasy and denial, going 1-55 in lawsuits while over 3000 American die daily from Covid-19; Tom and Jay are back to look at some of the top compliance articles and stories which caught their eye this week.
- The Vitol FCPA enforcement action. Tom takes a deep dive on the FCPA Compliance and Ethics Blog. Part 1, Part 2, Part 3, Part 4. Mike Volkov has a 3-part series on Corruption Crime and Compliance.
- Is the SEC whistleblower program too opaque? Harry Cassin considers in the FCPA Blog.
- AML reform and a new whistleblower law. Matt Kelly considers in Radical Compliance. Tom and Matt go into the weeds in the latest episode of Compliance into the Weeds.
- Is the SEC discouraging whistleblowers under Dodd-Frank. Mengui Sun explores in the WSJ Risk and Compliance Journal.
- Where did the Cheesecake Factory go wrong? Sara Kropft in the Grand Jury Target.
- 5 Compliance Triumphs from 2020? Kyle Brausser in Compliance Week. (sub req’d)
- GDPR compliance challenges in 2021. Steve Horvath in CCI.
- China-US audit showdown? Michael Rapoport reviews in The Dig.
- A new month is here and a new guest on The Compliance Life. Kim Yapchai, Chief Counsel – Environmental, Social & Governance at Tenneco Inc. In this week’s second episode, we take up the in-house roles In Kim held on her road towards the CCO chair. Check out the series here.
- My podcast with Mikhail Reider-Gordon on Wirecard was so popular we spun it out into its own series, The Wirecard Saga. Check out the latest episode, Dirty Deeds Down Under.
- On 31 Days to a More Effective Compliance Program, we consider Training and Communications. Monday, Sharing to 360-degrees of communication Tuesday– Speical Guest Vin DiCianni on Compliance and the clash of cultures.Wednesday– Using 360 Degree of Compliance to Tell a Story; Thursday– Using Communications to Drive a Speak Up Culture; Friday– Using communications to foster your compliance brand. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here.
- Check out the a replay of London Stock Exchange event which featured Tom, Neta Meidav, CEO, Vault Platform and Maxine Gee, Chief Risk Officer – UK Capital Markets LSE on why culture drives compliance. You can view and listen to it here.
- Join K2 Integrity for two great events in December. On Dec. 14, they host a webinar on “Proliferation Financing: Risks, Threats, and Mitigation.” The webinar will explore critical issues around understanding and combatting the financing of WMD proliferation. https://bit.ly/2VujK1O.
- On December 17, DOLFIN and K2 Integrity’s financial crimes compliance experts will host their latest “Ask an Expert FINQuiry” webinar. Expect answers to questions on topics such as: the latest developments in AML/CFT, sanctions, fraud, anti-bribery and corruption, and export controls; financial integrity risks related to the global pandemic; and regionally focused financial crime risks. https://bit.ly/39zzhFP
Tom Fox is the Compliance Evangelist and can be reached at firstname.lastname@example.org. Jay Rosen is Mr. Monitor and can be reached at email@example.com.