Both Australia and China initiate trade disputes under the WTO. The Kitchen is there to bring more details to you.
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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 in 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 Epaminondas and the Roman Scipio Africanus. Highlights include:
- Introduction of Plutarch’s Lives as historical work.
- Lives of Epaminondas and Scipio Africanus.
- Comparison in the lives of Epaminondas and Scipio Africanus.
- What leadership lessons can be drawn from the lives of Alcibiades and Coriolanus.
Resources
Plutarch’s Lives by Bill Thayer
Welcome to the only roundtable podcast in compliance. Today, we have a quartet of Matt Kelly, Jay Rosen, Tom Fox and special guest panelist Lisa Fine for a deep dive into a potpourri of issues and topics for the month of July. We end with a veritable mélange of rants and shouts outs.
- Jay Rosen looks at the latest MLB scandal and compares it to the GOP Congress rejecting an investigation into the January 6 insurrection at the US Capitol. Rosen shouts out to first responders.
- Tom Fox sits in this week to discuss the US Department of Treasury’s priorities around AML, fraud, corruption and cybercrime. Fox shouts out to the recently indicted Trump Organization for its Document Document Document policy which led to said indictment.
- Lisa Fine sits in as a special guest panelist. Fine considers RTW from the compliance perspective. Fine takes this opportunity to both shout out and rant. She rants about the rampant overuse of the term ‘thought leader’. Fine shouts out to employees and others who speak up, raise valid issues and World Whistleblower Day.
- Matt Kelly considers the Amec Foster Wheeler FCPA enforcement action. Kelly shouts out to proposed legislation in Congress to protect Inspector Generals.
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.
Why Outsourced Compliance is No Longer a Dirty Word
In this episode, former CCOs Korrine Kohm and Ariana Monchick discuss compliance management and how to expand and optimize your program leveraging tools, technology and outsourced compliance services.
About Our Guest Speakers:
Korrine Kohm is CSS’s Director of Retail Wealth Manager Services. Prior to CSS, Korrine was the Chief Compliance Officer and Head of Operations at Estabrook Capital Management where she was responsible for all compliance functions of this SEC-registered, $2.1B investment advisory firm. Korrine began her regulatory career while working at Allied Irish Bank (NY) in the Operations Department where she was a key member of AIB’s Compliance Committee, responsible for ensuring compliance with Federal and State regulations. An active member of the National Society of Compliance Professionals for over 10 years, Korrine earned her Investment Adviser Certified Compliance Professional (IACCPTM ) designation in 2006, is a member of the Association of Certified Fraud Examiners, and obtained her Certified Fraud Examiner designation. In addition to her experience in compliance and banking, Korrine began the 16-week intensive training course in Quantico, Virginia, to become a Special Agent with the Federal Bureau of Investigation. She has particular experience in crafting customized policies and procedures, developing and implementing compliance programs, conducting on-site compliance reviews, acquisition due diligence reviews, risk assessments and mock SEC examinations. She routinely counsels clients on various regulatory matters, including SEC registration issues, social media and advertising, policies related to diminished financial capacity, disclosures and the annual review process.
Ariana Monchick is a Senior Consultant for CSS’s Compliance Services team, and offers broad expertise on securities and investment advisory regulations. Ariana’s experience working in senior compliance positions at various financial services firms allows her to offer effective and comprehensive compliance solutions while maintaining a big-picture orientation. She has established a strong background in developing robust compliance programs for organizations and partnering with business leaders to mitigate risk. Most recently, Ariana was an Advisory Chief Compliance Officer for Cetera Financial Group, one of the largest family of independent broker-dealers in the United States. She was also the Chief Compliance Officer for Legend Advisory Corporation, a registered investment adviser that services the 403(b) retirement plan market.
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EU Adequacy Decisions on UK
The European Commission issues two Adequacy Decisions for personal data transfers to the UK. The Kitchen reviews the main points that go into a successful data transfer recipe.
In this episode of The Ethics Experts, Nick welcomes Gwen Lee Hassan, managing counsel (director) – global compliance and ethics, to the show.
Tom Fox and Megan Dougherty are back to review the Disney series starring the Marvel Cinematic Universe character, Loki, in the new series, appropriately enough named Loki. In this special catch up episode, they take a look at episodes 1-3. Each episode will feature a review of the sysnopsis, Cookies and other cool stuff and then go through some of the questions they have from each episode. It will be a rollicking great time. Join us for all 10 episode. Spoiler Alert-if you have not seen the episode, Tom and Megan will be taking a deep dive into all of the storylines.
In today’s episode we discuss:
- Story Synopsis.
- Cookies, easter eggs and other cool items.
- Questions going forward and back.
Welcome to newest edition to the Compliance Podcast Network: Greetings and Felicitations, a podcast where Tom Fox visits with a wide variety of guests on a wide variety of topics. In today’s inaugural episode I visit with Compliance Podcast Network fan favorite Dr. Ben Locwin. We take a deep dive into where we are in the Covid 19 pandemic, what may be down the road and how the global vaccination response has worked to slow down this global pandemic.