In today’s edition of Daily Compliance News:
Richard Lummis and Tom Fox conclude a two-part series on leadership lessons from Woodrow Wilson. In this Part 2, we look at lessons from Wilson’s two terms as President, his illness and short post-Presidential life and early death. Highlights of this podcast include:
A. New Freedom Agenda
1. Tariff and Tax
2. Federal Reserve
3. Anti-Trust Legislation
4. Labor and Agriculture
5. Immigration (here we go again)
6. Judicial Appointments
B. Race relations and Wilson’s attempts at Segregation
C. Foreign Policy-how did he “keep us out of war”
- Re-Election in 1916
- Move towards and declaration of War
- D. Miscalculation by Germany and Wilson Response
- 14 Points
- The Peace Conference
- Ratification debate and Incapacity
- Death
- Leadership lessons
Resources
Ten Ways to Judge a President
Woodrow Wilson Quotes
Woodrow Wilson-a Failure in Leadership
How Woodrow Wilson Lost the Peace
Woodrow Wilson-Life Before the Presidency
13 Leadership Lessons from WWI
Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.
At the Great Women in Compliance Podcast, we believe in the value of speaking up whilst acknowledging that it often isn’t easy to do so. No one personifies this more than heroic whistleblowers such as today’s guest, Erika Cheung. Erika was one of the Theranos whistleblowers and is featured as our second speaker in this two-part series on whistleblowing.
Erika tells her story of what it was like starting at Theranos as a new graduate from university and details the experiences that led to her blowing the whistle on practices at the company thought of at the time as a unicorn and the next big thing.
We get to hear about what Erika is working on now as one of us – a new member of the Compliance community and her tips for startups seeking to embed a culture of integrity in their business. We also hear about the personal toll the experience has had on Erika in addition to her successes moving on from the now disgraced company.
Mary often likes to end episodes with a little nugget of information or advice and this episode we maximize the star power already brought to the episode with Erika and feature one of the greatest feminist influencers of Mary’s childhood outside of family – some commentary from Ann. M Martin, author of The Baby-sitters Club books, given especially for the GWIC podcast.
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.
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.
Lisa and Mary have extended the Great Women in Compliance brand to the booking “Sending the Elevator Back Down: What We’ve Learned from Great Women in Compliance” (CCI Press, 2020) which can be found on Amazon and features valuable wisdom and advice from Great Women in Compliance across the world.
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.
Join the Great Women in Compliance community on LinkedIn here.
Categories
Gaps in Compliance
Welcome to the latest edition to the Compliance Podcast Network, The Wirecard Saga. In this series, I am joined by Mikhail Reider-Gordon, Managing Director of Institutional Ethics & Integrity at Affiliated Monitors. In this episode, we take a deep dive into the gaps in compliance in not simply Wirecard but in those entities which facilitated Wirecard or did business with Wirecard.
Some of the highlights include:
- Hufeld Heaved Aside
- BaFin Day Traders
- Fact Finding Scheutz
- Top Officer Lobbies
- Nobody Knows Us
- Bavarian State Officials
- Guttenberg Resurfaces
- Augustus Intelligence
- BKLA Holds AML Chat
- Cash On the Move
- Supervision Totally Inadequate
- Banking Firtash
- Corporatocracy
Cybersecurity is at the top of most organizations’ list of critical risks and is often cited by C-suite executives and Board Members as their gravest concern. Threats that are this complex and amorphous require strong partnerships including the inside of the organization. At first glance, cybersecurity and internal audit would seem to have very little in common or little need to interact with one another. Indeed, that is probably still the case in many organizations. Our guests today however have taken a different approach.
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
GameStop 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. Today we consider the GameStop matter through the lens of the compliance profession. Some of the issues we consider are:
- What is the background?
- What are the compliance implications of this matter?
- Is this a black swan event or just ‘business as usual?
- Short sellers in the bulls-eye?
- The role of the regulators?
- Who are Robinhood’s stakeholders?
- What is the more relevant precedent; Long Term Capital or the Panic of 1907?
- What is the role (or responsibility) of social media?
Resources
Check out Tom’s 5-part blog post series on GameStop and Compliance:
GameStop and Compliance-Introduction
GameStop and Compliance-The Shorts
GameStop and Compliance-The Squeeze and Social Media
GameStop and Compliance-The Regulatory Response
GameStop and Compliance-Lessons for the Compliance Professional
En este episodio nos acompaña nuestra invitada, Sandra Orihuela, de Orihuela Abogados, quien comparte con nosotros su amplia experiencia en materia de anticorrupción y cumplimiento en Perú. Sandra nos platica sobre las actitudes en Perú cada vez más optimistas respecto al combate a la corrupción. Ella pone en contexto los resultados de la Encuesta de Corrupción en América Latina, y comparte las tendencias que ve en el desarrollo de programas de cumplimiento en Perú.
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Preguntas? Contáctenos en podcasts@milchev.com.
¡(H)Ola Compliance! no tiene la intención y no se puede considerar como asesoramiento legal; el contenido solo refleja los pensamientos y opiniones de sus anfitriones.
¡(H)Ola Compliance! explora la ola de cumplimiento de anticorrupción que ha surgido por Latinoamérica. Inmerso en su cariño para la región, Matteson Ellis y Alejandra Montenegro Almonte (Socios de Miller & Chevalier), navegan las aguas de regulaciones de cumplimiento corporativo desde sus oficinas en Washington, DC y trazan las normas de anticorrupción que afectan a la región. A la vez destacan los desafíos y oportunidades que enfrentan las empresas comprometidas a la ética. ¿Te sientes que estás nadando contra la corriente? ¡Entonces tome la ola de cumplimiento en ¡(H)Ola Compliance!
In this episode, I am joined by Mikhail Reider-Gordon, Managing Director of Global Affairs at Affiliated Monitors, Inc. We discuss the ABA Guidelines on Monitors.
Gordon has long been a part of the ABA’s discussions around monitors. These standards are found under the Criminal Justice Standards on Monitors (the “ABA Standards”). The ABA Standards emphasize the monitor selection process should encourage consideration of a broad range of monitor candidates and should not be artificially limited by demographic, professional and geographic factors. Gordon also emphasized that “qualifications, integrity, credibility and professionalism are the top of the list.”
Moreover, under potential exclusion, there are a number of examples the standard provides that should be baked into every monitor selection process. Basically, anything that appears to create a conflict of interest or would be perceived to impair the monitor’s judgment or independence are non-starters. Yet, Gordon believes the standards actually go further. She stated, “They go onto provide additional factors that should be considered, some of which may seem obvious to us; such as not having worked for the organization being monitored during the time of the activity in question; not holding prior affiliation with a firm that provided legal or other professional services to the organization being monitored; and even extending to any other factor that could bias or impair or be perceived bias or impair the monitor’s judgment, objectivity, independence, including the prospect of future engagement or other economic considerations that could influence it”. The bottom line is that the ABA Standards “emphasizes the importance of independence.”
All of this extends beyond the criminal side where a monitorship might be put into place concerning a prosecution. It also extends to the civil side of enforcement. Moreover, the ABA Standards can also be applied to a variety of over situations where the independent third-party might be an ombudsman, Independent Sector Inspector Generals or other nomenclature. Gordon believes that “encoding true independence is essential no matter what form a monitorship takes, what title you give it, or whatever you might call it.”