Categories
This Week in FCPA

Episode 250 – the Oh is Out edition


Jay is moving this week so he is 000. Tom takes a solo look at this week’s stories top compliance and ethics stories which caught his interest on This Week in FCPA. He is joined by special guests Dave Lefort to talk about the upcoming Compliance Week 2021 and Matt Kelly on Alex Oh. 

Stories

  1.  Alex Oh resigns. Matt Kelly in Radical Compliance.
  2. What are 3 top BOD priorities? Maria Motes in CCI.
  3. Why compliance must understand business process. Mike Volkov in Corruption Crime and Compliance.
  4. Post pandemic business resiliance. Jim Deloach in CCI.
  5. What is location risk? Atul Vashistha in CCI.
  6. Investor due diligence on modern slavery. Subodh Mishra in the Havard Law School Forum on Corp Governance.
  7. ComEd as a wake up call. Vincent Wu in the Global AntiCorruption Blog.
  8. May is Internal Auditors Month. Navez Global’s Ethics and Compliance Matters Blog.
  9. German ups its AML game. Risk and Compliance Platform Europe.
  10. Want insight in WFH procrastion? Dick Cassin says look to writers, in the FCPA Blog.

Podcasts and Events

  1. Tom and Megan Dougherty are doing a special podcast series around The Falcon and The Winter Soldier, currently streaming on Disney+. Check out Episodes 1&2, Episode 3, Episode 4, Episode 5. Episode 6 drops next week.
  2. This month on The Compliance Life, Tom welcomes Jonathon Kellerman. In Episode 1, Jonathon discusses the path he took to compliance. In Episode 2, he talked about his early professional career in healthcare compliance consulting. In Episode 3, he moves to the CCO Chair. In Episode 4, Jonathon looks down the road for what’s next in compliance.
  3. Join K2 Integrity on 6 May 2021 for a webinar, presented in Spanish, “Reputational Due Diligence for Companies and Investment Firms.” The team will discuss scenarios and cases in which reputational due diligence helped uncover hidden areas of risk and opportunities for our clients. Learn more and register here.
  4. Join Tom and Jay at Converge21, the Workshop Edition, click here. Best of all, its free.
  5. Join Jay and Tom at Compliance Week 2021. For information and registration, click here. Listeners to this podcast can receive a discount of $200 by using the code PODCAST599 at check out.
  6. CCI releases a new eBook, The FCPA Year in Review by the Compliance Evangelist, Tom Fox. You can obtain a copy here. Best of all its available at no charge.
  7. 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.

Categories
MoForecast

MoForecast: Predictions on Europe


In this episode of MoForecast, Morrison & Foerster partner James Koukios speaks with Berlin partner Patrick Späth about what to expect in European regulation under the Biden Administration.

Morrison & Foerster LLP (MoFo) · MoForecast: Predictions on Europe

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:

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 group.
 

Categories
The Ethics Movement

Converge21 Workshop Edition- Tess Macapinlac on Embracing Data Privacy


Welcome to The Ethics Movement, special podcast series highlighting Converge21 The Workshop Edition. This podcast series will feature some of the speakers at the event. You can find out more information about the event and register here. In this podcast, I visit with Tess Macapinlac, Privacy Associate at OneTrust who will help the discussion on the Workshop, From Fear to Enthusiasm: Embracing Data Privacy with Confidence. Do not let fear of the unknown stop you from tackling data privacy. We’ll show you exactly where your weak spots are. It might even be fun!

Categories
Daily Compliance News

April 29, 2021 the Oh Out edition


In today’s edition of Daily Compliance News:

  • Disneyland reopening. (NYT)
  • Oh out at SEC. (Radical Compliance)
  • Biden and can-do unity. (Bloomberg)
  • Farewell to AOL and YaHoo!? (WSJ)
Categories
The Ethics Experts

Episode 059 — Jocelyn Davis

In this episode of The Ethics Experts, Nick welcomes Jocelyn Davis, Author of “The Art of Quiet Influence,” to the show.

Categories
The Walden Pond

Data Driven Compliance with AB InBev’s Dheeraj Thimmaiah, Global Director of Ethics and Compliance


 
Dheeraj Thimmaiah is Global Director of Ethics and Compliance, heading Compliance Analytics at AB InBev. He is data-driven and passionate about innovation. Dheeraj is dedicated to spending close time with AB InBev’s users and customers because even if you have the best tools, your organization will not get far without an audience. He joins Vince Walden to share insights about his role and work at AB InBev.
 

 
BrewRIGHT is AB InBev’s advanced data analytics program, which has 15 different apps and compliance workflows in 60 different countries. BrewRIGHT continuously monitors compliance (which has been especially useful during the pandemic), assists in managing investigations, and allocates resources effectively. 
Dheeraj shares tips on how to get started on the analytics journey for compliance: ask yourself how you can control the uncertainties, identify the problems, and find a way to use technology as an enabler in building impact. 
 
Resources
Dheeraj Thimmaiah on LinkedIn 
AB-InBev.com
 

Categories
Across the Board

Ben Colton on SSGA 2020 Asset Stewardship Report


In this episode of Across the Board, I visit with Ben Colton- Global Co-Head of Asset Stewardship at State Street Global Advisors. He joins me to discuss the latest SSGA Asset Stewardship Report. Some of the highlights include:

  1. Key takeaways from the 2020 Report.
  2. How does SSGA uses its ‘voice and vote” to hold Boards accountable?
  3. The SSGA view on the need for corporate transparency on sustainability.
  4. Why is Board refreshment so critical?
  5. Where do companies need to be in 2025 on ESG and Diversity and Inclusion?

Resources
For a copy of the State Street Global Advisors 2020 Asset Stewardship Report click here.

Categories
The Ethics Movement

Ethical Leadership with Cheryl Wahl

What does it mean to be an ethical leader *and* a leader in ethics? Tom chats with Cheryl Wahl, Chief Ethics and Compliance Officer at the MetroHealth System and winner of Convercent’s Leadership Award, about tone from the top, bringing your whole self to work, and leading a diverse workforce through unprecedented times.

For more information on Convercent, click here.

Categories
The Ethics Movement

Converge21 Workshop Edition-Julia Arbery on Demystifying Data & Analytics


Welcome to The Ethics Movement, special podcast series highlighting Converge21 The Workshop Edition. This podcast series will feature some of the speakers at the event. You can find out more information about the event and register here. In this podcast, I visit with Julia Arbery, a partner at StoneTurn who will help the discussion on the Workshop, Demystifying Data & Analytics: Leverage What you Have for Effective Risk Management. You have collected this data from my program, now what? The panel will use sample data sets to outline a foundation for data driven risk management. Join us for a dynamic Workshop.

Categories
Daily Compliance News

April 28, 2021 the Flip the Accountant edition


In today’s edition of Daily Compliance News:

  • Biden Administration to increase FinCEN budget by 50%. (DeCrypt)
  • Archegos losses over $10bn. (FT)
  • Will Trump’s accountant flip? (FT)
  • Of IPOs and customer service. (WSJ)