Categories
Popcorn and Compliance

Popcorn and Compliance: Spider-Man: Far From Home

In this podcast series, recovering screenwriter (and Mr. Monitor) Jay Rosen and Tom (the Compliance Evangelist) indulge in passion for the movies by looking at them through the lens of compliance. Jay is a contemporary movie fan and I am more of a classic movie maven so we present a well-rounded view of the movie fandom. If you want to indulge in your love for the movies with two guys who are passionate about Hollywood and get some ideas for your compliance program, this is the podcast series for you.For this  offering, we consider the recently released Spider-Man: Far From Home.
Some of the highlights include:

  • What drove the storyline?
  • Is teen angst always around?
  • How does this movie fit into the MCU?
  • How Marvel’s business strategy changed.
  • What are some of the leadership lessons?
  • What are some of the compliance lessons?
  • Jay gives the Inside Hollywood story of the production.
  • Jay gives the movie an overflowing bucket of popcorn as a summer movie treat. Tom tepidly gives the movie 3/4 bucket of stale popcorn.
Categories
FCPA Compliance Report

Bonus Episode-Mike Volkov’s Interviews the Compliance Evangelist for 100th Episode of Corruption Crime and Compliance

This special bonus episode is a cross-post of Mike Volkov’s 100th episode podcast, where he interviewed me. It was a ton of fun and Mike was gracious enough to allow me to post on the FCPA Compliance Report. Click here for the post on Corruption Crime and Compliance.
Some of the highlights include:
Where is the vast Compliance Podcast Network, and what is coming in the future?
The genesis of for Trekking through Compliance and how were you able to pull together and synthesize all of the Star Trek episodes?
My perspective on this recent DOJ and OFAC Guidance and how should compliance professionals use this guidance?
Given all of this recent government guidance, where does the FCPA Guidance from 2012 fit into the picture?  Does it still have value to the compliance professional?
What do you see, over the next five years, and how should compliance professionals prioritize compliance?
We always hear about automation, blockchain, artificial intelligence, data analytics and machine learning – how do we sift through these, find valuable compliance applications and then prioritize the use of these technologies?
When Trump first assumed the presidency there was concern about his commitment to FCPA enforcement.  What is my view of how this has turned out?
Where DOJ will be over the next few years on enforcement and compliance?
As compliance continues to evolve and increase its influence, where is the compliance profession growing?

Categories
Daily Compliance News

Daily Compliance News: July 27, 2019, the 3 year olds are a danger edition

In today’s edition of Daily Compliance News:

  • One of the country’s top border officers cannot say whether a 3-year-old child might pose a “criminal or national security threat.” (Slate)
  • Does Audi stink? (NYT)
  • McKinsey advised big pharma on how to ramp up opioid sales. (NYT)
  • Teva clawsback over $50MM (TimesofIsrael)
Categories
Trekking Through Compliance

Trekking Through Compliance-Episode 56 – Spock’s Brain

In this episode of Trekking Through Compliance, we consider the episode Spock’s Brain which aired on September 20, 1968, Star Date 5431.4. This is the first episode of Season 3.
Compliance Takeaways:

  1. How can a compliance professional channel passion?
  2. What to do when facing intransigence?
  3. What are the skills you need to fill out your compliance team?
Categories
This Week in FCPA

This Week in FCPA-Episode 164 – the Microsoft and Facebook settle edition

While Facebook announces a settlement with the FTC and Microsoft settles an outstanding FCPA enforcement action, Tom and Jay return to discuss both events and some of this week’s top compliance and ethics stories which caught their collective eyes.

  1. Facebook settles with the FTC for $5bn. Does it matter? Mike Issac and Natasha Singer in the NYT. Kevin LaCroix on why data privacy is such a high corporate risk. SEC piles on with another $100MM.
  2. Microsoft settles FCPA enforcement action for $25MM.
  3. Can an ethical culture be measured? Vera Cherepanova says yes.
  4. What is a ‘pulse check’ for compliance? Mary Shirely explains.
  5. What is the intersection of FCPA enforcement and suspension and debarment? Jay explains.
  6. What are the 5 complaince takeaways from the Walmart FCPA enforcement action? Jaclyn Jaeger weighs in. (sub req’d)
  7. Is Santa Claus real? Jonathan Rusch on the Chinese anti-corruption efforts around Belt and Road.
  8. Are there too many cooks in the FCPA enforcement kitchen? Helen Jiang says no.
  9. Trade sanction fines hit alltime high. Mengqi Sun reports.
  10. The week’s notable milestone-Mike Volkov celebrates his 100thanniversary show.
  11. This week Tom had a special 5-part podcast series sponsored by AMI on the use of monitors by State AGs, with Jerry Coyne. Check out the following: Part 1-Introduction to the Role of State AGs; Part 2-Big Tobacco litigation; Part 3– Litigation in the post-tobacco era; Part 4-Current Multistate litigation challenges; Part 5-the Road Ahead.  The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone,YouTube,  Spotifyand Corporate Compliance Insights. The Compliance Podcast Network joins C-Suite Radio.

 

Categories
Daily Compliance News

Daily Compliance News: July 26, 2019, the who are you friends edition

In today’s edition of Daily Compliance News:

  • CFTC adds a FCPA investigation of Glencore? (Reuters)
  • Women in the Board room. (WSJ)
  • Auto industry signs up with California for more regulation. (NYT)
  • Do you know how your friends are? (Washington Post)
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Trekking Through Compliance

Trekking Through Compliance-Episode 55 – Assignment Earth

In this episode of Trekking Through Compliance, we consider the episode Assignment Earth which aired on March 29, 1968, Star Date unknown. The final episode of Season 2.
Compliance Takeaways:

  1. How many pizzas have you bought?
  2. A lunch alone is a lunch wasted?
  3. Do you rotate other executives through compliance for assignments?
Categories
Everything Compliance

Everything Compliance-Episode 50-July Reflections Edition

Welcome to the only roundtable podcast in compliance. Today, we have the full quintet of Mike Volkov, Jay Rosen, Matt Kelly, Jonathan Armstrong and Sarah Hadden. Rants and shouts outs follow the commentary for this episode.

  1. Jay Rosen considers why governmental entities other than the federal government benefit from independent integrity monitors in their oversight capacity. This includes state AGs, state regulators, counties, cities and school districts. Jay reflects on the anniversary of his father’s death and shouts out to his memory for all the great advice he got from him.
  1. Jonathan Armstrong considers how the ICO has bared its teeth in two recently proposed enforcement actions for data breaches; British Airways and Marriott. Jonathan shouts out to the England team which won the recently concluded Cricket World Cup and to the graciousness in defeat of the New Zealand team which lost in heartbreaking fashion.
  1. Sarah Hadden reflects on her six-month ride as owner/publisher of Corporate Compliance Insights. Hadden shouts out to a team of a female filmmakers who have formed One Vote at a Time dedicated to the eradication of gun violence. Not only do they believe in a future free of gun violence but they deploy skills to elect legislators at all levels of government to fight for it.
  1. Matt Kelly considers the compliance lessons from the Trump Administration’s detention camps on the US/Mexico border. Kelly rants about the USOC which is hiring its very first CCO. He also notes that it took him six clicks to find the USOC Code of Conduct on the Commission’s website.
  1. Mike Volkov discusses the new DOJ Antitrust Division’s Evaluation of Corporate Compliance Programs in Criminal Antitrust Investigations. Volkov shouts out to the Greater Houston Business and Ethics Roundtable (GHBER) as a model for local business ethics groups.
  1. Tom joins in a shout out to the author Andrea Camilleri, at the age of 69, took up mystery novel writing and came up with the Inspector Montalbano detective books.

The members of the Everything Compliance are:

The host and producer (and sometime panelist) of Everything Compliance is Tom Fox the Compliance Evangelist. Everything Compliance is a part of the Compliance Podcast Network.

Categories
Daily Compliance News

Daily Compliance News: July 25, 2019, the Video Killed the Radio star edition

In today’s edition of Daily Compliance News:

  • FTC orders compliance. Will Facebook comply? (NYT)
  • Video killed the radio star, did Amazon kill retail? (Trump administration says yes). (Washington Post)
  • SFO opens corruption investigation for work in South Sudan. (WSJ)
  • Iraq orders arrests of government officials for alleged corruption. (Kurdistan24)
Categories
Great Women in Compliance

Promoting Public Trust-Amy Mertz Brown, Chief Compliance Officer of the SEC

For a long time, compliance was perceived as a part of the larger legal world. Today, compliance is its own profession — a place where people work tirelessly to make the world a better place, one where doing the right thing is the standard for everyone. There are a lot of amazing and inspirational women who have helped the compliance field develop into what it is today and women who are joining this field every day. They are leading the work on cutting-edge issues and breaking barriers for women. Join Mary Shirley and Lisa Fine as they talk with women in compliance who are making a difference. In today’s episode Mary visits with Amy Mertz Brown, Chief Compliance Officer of the SEC. They discussed her role and how it feels to have the responsibility of the head of the Compliance function for one of the most significant Compliance regulators in the world, her tips for success in technology implementations and her takeaways from spearheading the creation of a compliance function in a start-up federal agency. With her extensive managerial experience in legal and compliance departments, Amy also shared various approaches for addressing difficult stakeholders inside an inherited staff and how she prizes diversity as an important goal when building out her teams.