In this special podcast series, One Stone Creative co-founder Megan Dougherty and Tom Fox, the Voice of Compliance indulge in their love of all things MCU by watching and discussing the Falcon and the Winter Soldier. In this episode we look at episode 3 of the series currently running on the Disney channel. Some of the highlights include:
Ø Synopsis of the episode.
Ø MCU cookies and other cool things.
1. Commercial at the beginning – similar to ads in Wandavision. Is the government the biggest bad of all?
2. Cap: “don’t even let them breathe.” Yikes. Also, is he the only unilingual superhero?
3. Ends justify the means – theme of the episode?
4. Zemo is the therapist now. (Strong Hannibal Lecter vibes.)
Ø Questions for Consideration
5. Is the Baron’s back story plausible? Just how cool is he?
6. How did we move from social commentary to a spy/thriller show?
7. Was Bucky simply in character at the Bar or was he under Zemo’s control again?
8. Has Sharon Carter gone to the dark side? Is she The Power Broker?
9. Fight at the lab.
So kick back and enjoy the MCU universe on the small screen and then check out this special series on Popcorn and Compliance.
In this edition of Cordery Head to Head @ Home Cordery’s Jonathan Armstrong talks to Dr. Jessica Barker. Jess is the Co-CEO of Cygenta and an award-winning global leader in cybersecurity. She has been named as one of the top 20 most influential women in cybersecurity in the UK and is the Chair of ClubCISO. Jess is the author of Confident Cybersecurity: How to Get Started in Cybersecurity and Futureproof Your Career.
They talk about how Jess first became involved in cybersecurity. They talk about current threats including phishing and cybersecurity and the rise of criminal activity during the pandemic. They also talk about the importance of human behavior in dealing with those threats and the need for education on current threats. They also talk about the future of cybersecurity and how the profession might become more diverse.
You can find out more about Jess here https://www.cygenta.co.uk/jess-bio and more about her book here http://bit.ly/jessbbook
Jonathan and Jess talk about ransomware. There is more on this here https://bit.ly/cvransom.
You can find out more about Cordery and its work here https://www.corderycompliance.com/.
You can also read about current issues in dealing with the pandemic here https://www.corderycompliance.com/category/covid19/
You can also find out more about Cordery’s experience of cybersecurity issues here https://www.corderycompliance.com/cybersecurity/
You can view more Cordery Head to Head interviews here www.bit.ly/corderytv.
Categories
SPACs and Compliance
Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. This week Matt and Tom take a deep dive into the recent spate of SPACs which have formed and are gobbling up companies through acquisition. What does it mean from the internal control, risk management and compliance perspective?
Some of the issues we consider are:
- What are SPACs?
- Do SPACs render controls ineffective?
- What are the requirements under SOX 404b for SPACs?
- Do SPACs create an inherent conflict of interest between management and shareholders?
- What does this mean for compliance officers?
Resources
Matt’s blog post on Radical Compliance:
SPACs Draw Internal Control, Governance Concerns
In today’s edition of Daily Compliance News:
- Credit Suisse take $4.7bn hit. (Bloomberg)
- Bezos backs tax increase on corporations. (BBC)
- Corp American in bed with Dems? (NYT)
- Guilty plea in Ecuador bribery scandal. (WSJ)
The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Jonathan Kellerman, Partner at StoneTurn and former CCO at Allergan. Kellerman grew up in a family of doctors. In college he realized he did not want to practice medicine. After college, he took a job in a consulting practice focusing on health care. There he learned about how the health care delivery model works and focused his professional work in this area ever since, moving to Coopers & Lybrand.
Resources
Jonathan Kellerman LinkedIn Profile
Jonathan Kellerman StoneTurn Profile
StoneTurn
Business Ventures with Brandon Daniels
In today’s episode of The Compliance Podcast, Thomas Fox is joined by regulatory expert and technology practitioner Brandon Daniels, President of Exiger – Global Markets. Tune in to the episode as Thomas and Brandon share an interesting discussion about trending compliance risks and business ventures.
Major takeaways discussed in the episode:
- Be reminded that third parties are essentially part of a company’s ecosystem as well. Brandon Daniels emphasizes that third parties must also use compliance practices applied to the company’s people, processes, and technology.
- Take advantage of technological advancements, namely the ability to utilize open-source data to evaluate risk in due diligence and assessments.
- Recognize that holistic risk assessment is necessary to search hotspots subject to multi-factor risks. Doing so will effectively mitigate them to stay ahead of both commercial disruption and regulatory enforcement.
- Be constantly reminded to avoid the risks that wipe out the profit.
- Companies need to be thinking ahead beyond their business relationships and creating strong mitigation practices in times of crisis to stay relevant and economically successful.
- Amid a pandemic, there are areas of growth in the market that will demand more robust compliance and more vital ESG practices.
About Thomas Fox:
Thomas Fox, the Compliance Evangelist®, is one of the leading writers, thinkers, and commentators on anti-bribery and anti-corruption compliance. In this latest edition of The Compliance Handbook, he continues to arm seasoned compliance professionals and those new to the realm with the practical, actionable guidance and tools needed to design, create, implement and continually enhance a best practices compliance program.
The “Nuts and Bolts” for Creating a Comprehensive Compliance Plan
This chapter of this unique work lays out a succinct yet thorough one-month approach to operationalizing a company’s compliance regimen. Beginning with a section on what 2020 brought to the compliance landscape, each chapter methodically outlines best practices for everything from establishing policies, procedures, and internal controls, to assessing risk, training, handling investigations, and more. Each day ends with three key takeaways you can implement at little or no cost.
Understanding Compliance Responsibility Across the Organization
The Compliance Handbook also takes a close look at all professionals’ roles with compliance responsibility, from Compliance Officers and Boards of Directors to Human Resources, to Internal Audit and Internal Controls and Communications and Training professionals.
In-Depth Treatment of Hot Topics and Trends
The Handbook provides an in-depth look at the latest thinking and trends for the full range of critical compliance topics, including:
• Compliance and business ventures
• Third-party risk management
• The Board’s Role in Compliance
• Continuous improvement
• Compliance innovation
• And much more
Incorporating Current Government Pronouncements
The Second Edition incorporates the most current government pronouncements governing best practices compliance programs, including the 2019 Evaluation of Corporate Compliance Programs released by the Fraud Section of the Department of Justice, and its 2020 Update; the updated FCPA Resource Guide 2nd edition; the Framework for OFAC Compliance Commitments; and the 2019 DOJ Antitrust Division’s Evaluation of Corporate Compliance Programs in Criminal Antitrust.
Order your copy OR copies of The Compliance Handbook: A Guide to Operationalizing Your Compliance Program. Save 25% off.
http://www.lexisnexis.com/fox25
Paul Clayson has an interesting and eclectic career history: he went from real estate to politics – including working for two US Presidents – then to corporate finance and investing. He tells Tom Fox about his experience working as CEO of several technology companies after which he moved into consulting. He first consulted for AgilePQ, his present company, and was asked to join as CEO. Paul joins Tom to discuss the top lessons he learned as CEO, as well as security for technology in the present and future.
Timely Intervention
“…Encryption and security technology has lagged the development of computers,” Paul tells Tom. Computers are becoming smaller but existing encryption is too large to fit on these small devices. As a result, very few IoT devices have security on them. Paul feels strongly that it’s time to “catch up”.
Leadership Lessons for CEOs
Tom asks Paul to share his top leadership lessons as CEO. Paul says:
- The CEO has more bosses than any other position in the company;
- Your job as CEO is to get the best people and then create the environment for them to perform at their best;
- Be transparent about everything;
- He lives by two principles. Firstly, make gut decisions after finding all the data to support it; and secondly, it makes no sense doing those things well that you shouldn’t be doing at all.
He explains that the difference between the board of directors and the CEO is oversight and fiduciary responsibility versus operation and execution.
Security for the Present and Future
Tom and Paul discuss Paul’s role at AgilePQ and the company’s prospects. “This product is needed; it’s just needed,” Paul emphasizes. He outlines the markets they are targeting, which even includes their competitors. “They don’t really have a full security system that can operate on the smallest of IoT devices,” he points out. “We have that so we can join with them, license to them our technology.” He tells Tom that their software not only protects the present but is ready for future technology as well. “We built [our software] not only to protect the IoT devices, but we built it so that when quantum computers become a reality – they will be able to process so much data so quickly they can break many of the encryption systems that are in the marketplace today – we built our technology to be post-quantum secure.”
“What do board members, CEOs, and companies need to be thinking about for 2025 or perhaps even further, around security and encryption?” Tom asks. “People have to recognize that hackers and bad actors in the digital world are multiplying faster in many cases than the development of technology itself,” Paul responds. “Businesses today really need to be focusing on security at every level of the computing stack … and they need to concentrate on multiple levels of security within each of those systems. He advises that security should be considered in the planning stage, not after you’ve already developed a product. “You need to think about it upfront and plan it as part of the operational aspect of the device… that you’re building,” he comments.
Resources
Paul Clayson on LinkedIn
AgilePQ.com
Call Paul Clayson at (336)380-2800
In this episode, CSS’s resident document production experts, Shane O’Sullivan and Charles Seigle-Goujon sit down to discuss how to prepare now for the UCITS to PRIIPs transition using best practices from the insurance industry and getting data governance procedures in place today.
About Our Guest Speakers:
Shane O’Sullivan recently joined the CSS team and is Director of Sales for the Irish market. Prior to joining CSS, Shane spent six years working for Institutional Investor in Melbourne and London. Shane managed new and existing relationships with global fund managers in Australia, America, UK and the Middle East. In 2018, Shane returned to Ireland to take a role with FundAssist to develop new business with global asset managers to meet their regulatory challenges. Shane holds a BA in Economics and a Masters in Financial Economics from University College Cork.
Charles Seigle-Goujon joined the Fund Reporting branch of CSS at the beginning of 2017 to develop the strategy in France, Switzerland and Luxembourg thanks to 10 years of experience in sales and account management for the Financial industry. Starting his career at Amundi and Henderson in institutional sales for alternative funds in Paris, he then moved to the Fintech industry in mid-2009 in Singapore where he was the head of Client Relationship Management South East Asia at FIS – ex SunGard Global trading.