In today’s edition of Sunday Book Review:
- All That She Carried by Tiya Miles
- The Engagement by Sasha Issenberg.
- The Plague Year by Lawrence Wright
- Forget the Alamo by Brian Burrough, Chris Tomlinson and Jason Stanford
The Kitchen reviews the recent Moneygram settlement with OFAC and introduces the WTO’s new Trade Cost Index database. We then touch on the new and far-reaching UK National Security and Investment Act.
As the Rosen Family returns to DisneyLand, with Jay still podcasting from a still undisclosed location, he and Tom take a look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA in the Back to DisneyLand edition.
Stories
- $28MM whistleblower award in FCPA case. Menqui Sun in the WSJ Risk and Compliance Journal. SEC Press Release.
- Will investigations on China become even more difficult? Helen Hwang and Eric Carlson in the FCPA Blog.
- Ephemeral messaging guidelines. Rebecca Cronin in JDSupra.
- What is moral equilibrium? Vera Cherepanova in the FCPA Blog.
- Great series on the VW monitorship. Aly McDevitt in Compliance Week Part 1, Part 2, Part 3, Part 4, Part 5 (sub req’d).
- Using neuroscience in leadership. Dr. David Rock in Flexworks.
- Corruption and soccer. In Risk and Compliance Platform Europe.
- Underarmour settles EC charges. Mike Volkov in Corruption, Crime and Compliance.
- How do you mind the data gap? SEC Commish Caroline Crenshaw in the Havard Law School Forum on Corporate Governance.
- Judge admonishes Paul Wiess and Alex Oh. Mike Volkov comments in Corruption Crime and Compliance.
Podcasts and Events
- In this episode of Survive and Thrive, Tom and Korney Nordum discuss how to naviage an SEC review of your Code of Conduct.
- In the most recent episode of Integrity Through Compliance, recorded before the recent Colonial Pipeline Ransomware attack, Affiliated Monitors, Inc.’s MD Dionne Lomax, sat down with Dentons’ Kelly Graf to discuss Privacy and Cybersecurity Issues for 2021 and Beyond. Now that cybersecurity is in the news more than ever, this conversation couldn’t be more relevant. Check it out here.
- In a special K2 Integrity Matters podcast, Tom visits with Gabe Hidalgo on the latest on cryptocurrencies and their issues.
- Join K2 Integrity’s team on the latest DOLFIN Webinar: Ask an Expert FINQuiry on High-Risk Banking. Chip Poncy, Gabe Hidalgo, Gail Fuller, and Archana Bea will lead the discussion on high-risk banking, businesses, and products; emerging risks in the virtual assets space; and financial crime risk management for fintechs. Learn more and register here.
- Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, Eric Young joins Tom for a deep dive into the role of internal controls in a best practices compliance program.
Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.
Special Episode: Spotlighting the Expect Miracles Foundation & Social Distance Challenge
In this special episode, CSS’s Chief Revenue Officer Terence Faherty takes a break from compliance and sits down with the Managing Director of Stewardship at the Expect Miracles Foundation and Founder of The SamFund, Samantha Watson to talk about a dedicated commitment of the financial services community to bring meaningful resources to research and people impacted by cancer.
About Our Guest Speakers:
Terence Faherty has over 30 years’ experience in the financial technology, regulatory and banking industry living and working throughout the US and UK. Mr. Faherty is currently Chief Revenue Officer for Compliance Solutions Strategies (CSS). Previously, he was VP, General Manager for Broadridge’s revenue and expense management solutions focusing on helping clients apply solutions to help with transparency, efficiency and compliance in the Capital Markets/Trading arena. Mr. Faherty’s experience includes Managing Director of middle and back office technology companies, Milestone and MultiFonds. Mr. Faherty spent 12 years at SunGard BancWare as President and COO focusing on risk management, regulatory compliance and Basle II.
Samantha Watson is the Managing Director of Stewardship at the Expect Miracles Foundation and Founder of The SamFund. Sam is also a two-time young adult cancer survivor, diagnosed with Ewing Sarcoma in December of 1999 and with secondary Myelodysplastic Syndrome in April of 2001. She is proud to be an active member of the cancer community and a passionate advocate for young adult survivors throughout the country. Sam holds a BA from Brandeis University and an MBA in Mission-Driven Management from the Heller School for Social Policy and Management at Brandeis.
This episode takes a look at EU’s declaration that it is moving forward with the Brexit Adjustment Reserve. We also touch on the recent SAP settlement with the US government in connection with the US sanctions regime.
Categories
Episode 063 — Janine Yancey
In this episode of The Ethics Experts, Nick welcomes Janine Yancey, Founder & CEO at Emtrain, to the show.
Welcome to the only roundtable podcast in compliance. Today, we have a quartet of Matt Kelly, Jonathan Marks, Jonathan Armstrong and Jay Rosen for a deep dive into plethora of compliance topics. We end with a veritable mélange of rants and shouts outs.
- Jonathan ArmstrongJonathan Armstrong reflects on the SFO’s 0-11 record in trying individuals, after corp DPAs have been signed. Armstrong delivers a shout out to the BBC for their podcast series Lazarus Heist.
- Jonathan Marks talks about the intersection of governance, fraud and corporate culture. Marks has his most epic rant ever, directed at Bob Baffert who claims he has no idea how his Kentucky Derby winning horse was drugged.
- Jay Rosen reviews a recent AMI, Integrity Through Compliance podcast on healthcare issues in 2021. Rosen shouts out to the GOAT Tom Brady and his return to New England in the 4th game of the 2021 NFL season.
- Matt Kelly discusses the recent Biden Administration Executive Order on Cybersecurity. Kelly shouts out to Moderna for its covid vaccine.
- Tom Fox shouts out to the 10,000 New York Yankee fans who so voraciously berated the Houston Astros as cheaters during a recent trip to Yankee Stadium that it hurt the feelings of those same cheaters.
Additional Resources:
Matt Kelly blog post on Radical Compliance, Parsing Biden’s Cybersecurity Order
See Cordery Compliance Client Alert, SFO Loses another case
Listen to the AMI podcast Integrity Through Compliance: Episode 8: From Business Opportunities to Compliance Risks: Healthcare Expectations in 2021
Jonathan Marks blog post on Board and Fraud, Governance, Fraud, and Corporate Culture: Sorting Through a Complicated Relationship
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.