In today’s edition of Daily Compliance News:
In this episode of MoForecast, Morrison & Foerster partner James Koukios speaks with fellow partner Dave Lynn about what to expect in SEC regulation under the Biden Administration.
The MoForecast podcast series, produced by global law firm Morrison & Foerster, looks into what we saw in the legal landscape under the Trump administration and how policies might change under President Biden by leveraging the firm’s decades of private practice experience and insight from former government roles. Discover more MoForecast episodes.
About the Speakers
James Koukios is co-chair of Morrison & Foerster’s Securities Litigation, Enforcement, and White Collar Defense Group and serves as co-head of the FCPA + Global Anti-Corruption Practice. James represents companies and individuals in high‑stakes government enforcement actions and complex internal investigations. He previously served as a federal prosecutor at the U.S. Department of Justice (DOJ), where he was the lead prosecutor in two landmark FCPA related trials: United States v. Esquenazi and United States v. Duperval. While at DOJ, James also served as lead prosecutor in United States v. AEY Inc., a defense procurement fraud and export licensing case that served as the basis for the 2016 film War Dogs. He also previously served as Special Counsel to then-FBI Director Robert S. Mueller, III.
James is joined in this episode by:
- Dave Lynn, partner in Morrison & Foerster’s Washington, D.C. office, co-chair of the firm’s Latin Corporate Finance | Capital Markets practice, and former Chief of the SEC’s Division of Corporation Finance
The Morrison & Foerster team is made up of talented defense lawyers, including many who once served as prosecutors and regulators. The team helps firm clients resolve their legal issues by immersing themselves in how their clients think and operate. Learn more about the firm’s Investigations + White Collar Defense, Securities Enforcement, and Corporate Governance groups.
On the latest episode, Brian and Tim return their focus to China by analyzing Xiaomi’s successful court challenge to its CCMC listing and the possible repercussions of the contentious U.S.-China diplomatic session in Anchorage. We then examine a recent sentencing in a sanctions case connected to the Maduro regime and discuss the release of official findings on foreign interference in the 2020 U.S. federal election. Finally, in the Lightning Round, we cover the latest on Nord Stream 2 and new BIS restrictions on Burma.
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EMBARGOED! is not intended and cannot be relied on as legal advice; the content only reflects the thoughts and opinions of its hosts.
Timestamps:
0:10 Introduction and Roadmap
The Rundown
6:07 Xiaomi
23:26 Hong Kong Designations and Sparring in Alaska
36:42 Venezuela Sanctions Sentence
48:56 Findings of Russia Election Interference
58:50 Lightning Round
59:03 Nord Stream 2 Warnings
1:08:32 BIS Restrictions on Burma
1:14:25 Final Thoughts
***Stay sanctions free.***
The headlines from Operation Varsity Blues dominated the news cycle for months – but what happened in higher education after the news trucks left campus?
In Episode 5 of Digging Deeper, Chris Morgan Jones speaks with David Holley about an investigation the K2 Integrity team conducted in the wake of the Varsity Blues scandal and the ripple effect of the FBI’s initial findings on the broader higher education system.
Internal investigations have a variety of triggers and the underlying topics include potential fraud, bribery and corruption, data leakage, and anti-competitive behavior, to name a few. The common objective is to determine whether employee misconduct has taken place.
Listen to all Digging Deeper Episodes:
- Digging Deeper Episode 4: Public Sector Lessons for the Corporate Investigator
- Digging Deeper Episode 3: When Personal Lives Feed Criminal Activity
- Digging Deeper Episode 2: Tales Of Corporate Scams, Frauds, And A Stolen Dali
- Digging Deeper Episode 1: The Con Queen of Hollywood
Digging Deeper, an investigative podcast series by K2 Integrity, helps shine a light on the investigations industry as few can: via the real-world, exceptional practitioners who, day in and day out, conduct this work across sectors and around the globe. Listen in to each episode where guests explore unique cases and share what they uncovered along the way to crack the code for clients. Learn more by clicking here, or subscribe on Apple Podcasts, SoundCloud, Spotify or Stitcher.
In this podcast we discover the history of the practice of insider threat management; the role of technology, psychology, people, and cross-organizational collaboration to drive an effective insider risk program today; and things to consider as we look ahead and across an ever-changing risk landscape.
Welcome to Uncovering Hidden Risks, a broader set of podcasts focused on identifying the various risks organizations face as they navigate the internal and external requirements they must comply with. We’ll take you through a journey on insider risks to uncover some of the hidden security threats that Microsoft and organizations across the world are facing. We will bring to surface some best-in-class technology and processes to help you protect your organization and employees from risks from trusted insiders. All in an open discussion with topnotch industry experts!
Learn More
Subscribe on: Apple Podcasts, Stitcher, Spotify, Google Podcasts, Deezer, TuneIn
Welcome to the only roundtable podcast in compliance. Today, we have a quartet of Tom Fox, Jonathan Marks, Jonathan Armstrong and Jay Rosen for a deep dive into plethora of topics related to Confirmation Hearings. We end with a veritable mélange of rants and shouts outs.
- Jonathan Armstrong bring Scotland to Everything Compliance through the imbroglio the Scottish National Party finds itself in regarding current SNP First Minister Nicola Sturgeon and former SNP First Minister Alex Salmon. Armstrong rants about the EU’s waffling on the AstraZeneca vaccine has potentially cost thousands of lives.
- Jonathan Marks how continuous auditing can lead to continuous monitoring and continuous improvement. Marks rants about MLB’s decision to do away with affiliations with many minor league teams thereby consigning them to the dustbin of baseball history.
- Jay Rosen talks about the ECI 2021 GBES and how retaliation against whistleblowers has skyrocketed. Rosen shouts rants about Captain Jay Baker, spokesperson for the Cherokee County Police Department who said that the Atlanta mass shooting suspect was having a “bad day.”
- Tom Fox sits in this week to discuss how the Alamo can inform a compliance regime. He has an epic rant about the sorry state of Texas politicians who have publicly announced they will protect Wall Street profits earned during the failure of Texas power grid and not make any substantive reforms to the state’s power system.
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 (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.
On April 3rd, 2016, information about 214,488 offshore companies established by Panamanian law firm Mossack Fonseca was leaked. Since the Panama Papers leak, a total of 81 jurisdictions worldwide have passed laws requiring beneficial ownership to be registered with a government authority. The U.S. Government has been openly critical of countries that act as money laundering safe havens and yet we were not taking any steps toward transparency. That changed on January 1, 2021, when both houses of Congress passed the National Defense Authorization Act for Fiscal Year 2021, which includes the Corporate Transparency Act (the Act).
Join us each week as we take a deep dive into the various forms of fraud across the world and discuss crime families, penny stock boiler rooms, international money launderers, narco-traffickers, oligarchs, dictators, warlords, kleptocrats and more.
Scott Moritz is a leading authority on white-collar crime, anti-corruption, and in the evaluation, design, remediation, implementation, and administration of corporate compliance programs, codes of conduct. He is also considered an authority in the establishment, training, and oversight of the investigative protocols carried out by financial intelligence, corporate security, and internal audit units.
Categories
No Laughing Matter
Welcome to The Wirecard Saga. In this series, I am joined by Mikhail Reider-Gordon, Managing Director of Institutional Ethics & Integrity at Affiliated Monitors. In this ‘No Laughing Matter’ Episode, we continue our exploration of those persons, entities and governments who have been damaged, some beyond repair, by Wirecard and the nuclear fallout from its scandal. Some of the highlights include:
- Braun’s Innsbruck Villa Geographically Desirable
- Deadbeat Friends
- Robbing Peter to Pay Paul
- Schutz Auf Wiedersehen
- Lucrative Consulting Contracts
- von Erffa: Nothing Out of the Ordinary
- Mildly Mediocre
- EY: We’re All Victims Here
- 2016 Documents Show What EY Really Knew
- COVID Relief for Wirecard
- Hessenthaler Shipped Back to Vienna
- Schellenbacher Pleads Out
- A Day in English Court
- An Apology Wouldn’t Go Amiss
Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.
Welcome back to the second episode in a two-part series on Healthcare Compliance, this time with Melanie Sponholz Chief Compliance Officer WCP Healthcare.
We discuss Melanie’s unique story starting out in non-Compliance roles and of course eventually finding her Compliance destiny. Along the way, Mel has lived in a large number of cities and feels comfortable with the idea of re-locating, noting the benefits this can have for one’s career and broadening your mind.
We talk about data privacy in Healthcare Compliance as well as the characteristics that make someone successful in Healthcare Compliance. This episode will therefore likely be of special interest to anyone looking to transition into Healthcare Compliance.
We like to share advice and tips on the podcast via our learned guests but some things don’t have immediate answers, including some aspects of what we’ve canvassed today. If you’d like to share your thoughts on the issues raised, we invite you to connect with us at GWICpod@gmail.com.
The Great Women in Compliance Podcast is proudly featured on the Compliance Podcast Network and sponsored by Corporate Compliance Insights. If you enjoyed this episode please subscribe to the podcast and rate it on your podcast player to help other compliance professionals find it. Want to hear more from us? We have a book, “Sending the Elevator Back Down: What We’ve Learned from Great Women in Compliance” (CCI Press, 2020) which is available on Amazon.com and Book Depository.
If you’ve already read the booked and liked it, will you help out other women to make the decision to leverage off the tips and advice given by rating the book and giving it a glowing review on Amazon?
As always, we are so grateful for all of your support and if you have any feedback or suggestions for our 2021 line up or would just like to reach out and say hello, we always welcome hearing from our listeners.
You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast.
Join the Great Women in Compliance community on LinkedIn here.