Categories
The Ethics Experts

Episode 017–Ron Carucci


On this episode of The Ethics Experts, we speak with Ron Carucci about folding the compliance department into the other C-Suite roles, and making sure the partnerships are strong.

 Check out more episodes, and don’t forget to subscribe on your favorite podcast platform!

Categories
FCPA Compliance Report

Ian McDougall on the Rule of Law


In this episode, I am joined by Ian McDougall, the General Counsel for LexisNexis. He is also the President of the LexisNexis Rule of Law Foundation. McDougall is also the Chair of the Global Marketing Committee, where responsible for Professional Association relationships and responsible for Global Rule of Law development. McDougall has a uniquely wide ranging and high-level experience in the delivery of legal advice to substantial corporations at board level (both as a board member and as adviser to the board). Finally, he has presented to and made speeches at the highest international levels; including the International Bar Association, the General Assembly of the United Nations Comprehensive Test Ban Treaty Organisation, and ministers from various governments internationally. In this podcast, you will learn how and why McDougall is so passionate about the Rule of Law.
Some of the highlights include:

  1. Why McDougall is so passionate about the Rule of Law.
  2. What are McDougall’s 4 principles for defining the Rule of Law?
  3. What is the difference of the Rule by Law and the Rule of Law?
  4. What are three reasons why McDougall believes the Rule of Law is even more crucial at this point in time?
  5. How does the Rule of Law lead the discussion around the areas of the profession of Law, Corporate Social Responsibility and Social Entrepreneurship?

Resources
Text of Ian McDougall speech on The Rule of Law to IBA Annual Conference Rule of Law Symposium – Rome 2018.

Categories
Daily Compliance News

June 15, 2020-the Invisible OSHA edition


In today’s edition of Daily Compliance News:

  • Why is OSHA invisible now? (WaPo)
  • What will Trump rally do for OK Covid numbers? (NYT)
  • A reckoning at Condé Nast. (NYT)
  • FASB Proposes Delaying New Accounting Rule on Insurance Contracts Again. (WSJ)
Categories
Sunday Book Review

June 14, 2020, the Houston edition


In today’s edition of Sunday Book Review:

Categories
Daily Compliance News

June 13, 2020-the Viva La France Up edition


In today’s edition of Daily Compliance News:

  • Starbucks reverses stance on employees and BLM. (WaPo)
  • California looking at Amazon business practices. (WSJ)
  • Businesses want Covid-19 lawsuit protection. (NYT)
  • France takes on ABC fight. (WSJ)
Categories
This Week in FCPA

Episode 209 – the George Floyd is Buried edition


As Trump goes back into hiding in his bunker, the rest of the country continues to reopen. Self-Tom and Jay are back to consider some of the top compliance articles and stories over the past week.

  1. Final thoughts on the DOJ 2020 Update to the Evaluation of Corporate Compliance Programs. Tom summarizes the highlights on the FCPA Compliance and Ethics Blog. Mike Volkov gives his five top takeaways.
  2. Want to see examples of ham-fisted leadership. Matt Kelly on Radical Compliance. Tom and Matt take a deep dive in Compliance into the Weeds.
  3. Why does WFH raise compliance risks? Vera Cherapanova on the FCPA Blog.
  4. How did Jho Low use Kuwait to continue his fraud? Reporting in the WSJ.
  5. Common features of corruption and police brutality. Matthew Stephenson opines in GAB.
  6. How can you sharpen your cyber security? Jim DeLoach in CCI.
  7. How can you build a listen up culture? Bob Conlin on Navex Global’s Ethics and Compliance Matters
  8. Managing risk in compliance staffing. Kathryn Reimann on NYU’s Compliance and Enforcement Blog.
  9. Brian Benczkowski bails the DOJ. Dylan Tokar on the WSJ Risk and Compliance Journal.
  10. Interested in moving to the CCO chair? Check out my latest podcast series The Compliance Lifewhere I interview one CCO type for a month on their journey to the CCO chair and beyond. In on this month’s edition I visit with Ryan Rabalais. In this Part 2, he details why the corp compliance function can be seen as a Black Box. The Compliance Life is now available on iTunes.
  11. On Compliance and Coronavirus this week, I feature three podcasts from the folks at K2 Intelligence FIN: Gabe Hidalgo on lessons for financial institutions during the time of Covid-19; Sepideh Rowland on PPP and changing risks for financial institutions; Ray Dookhie joins me to discuss evolving fraud risk during the time of Covid-19. Compliance and Coronavirus is available on iTunes here.
  12. On the Compliance Podcast Network, this month topic: internal reporting and investigations; all on 31 Days to a More Effective Compliance Program. This week’s offerings: Monday-internal reporting and whistleblowers during layoffs; Tuesday-triage of allegations; Wednesday-the investigation protocol; Thursday– preparing for an investigation; Friday– selection of investigative counsel. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel.
  13. Join Tom and Jonathan Marks for a webinar on the 2020 Update to the Evaluation of Corporate Compliance Programs. Thursday, June 18 at noon CT. Registration and information available here.
  14. Join Jay’s AMI colleagues Dionne Lomax and Jesse Caplan for a webinar entitled, “The DOJ’s New Guidance for Antitrust Compliance Programs + Special Considerations During the COVID Pandemic”. This webinar will discuss the U.S. Department of Justice Antitrust Division’s recently announced initiative to encourage corporations to develop and implement effective antitrust compliance programs. Our panel will discuss the new guidance and special considerations during the COVID pandemic and provide practical tips for developing a comprehensive program, including tips on how to handle a federal and/or state antitrust investigations. The event will be held next Tuesday, June 16th, at 12P EST/9A PST. Registration and information can be found here.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

Categories
Daily Compliance News

June 12, 2020-the €12.6M edition


In today’s edition of Daily Compliance News:

  • Brother can you spare €12.6MM? (KYC360)
  • Pemex suspends contracts. (Houston Chronicle)
  • Goldman Sachs lobbied DOJ to back off guilty plea in 1MDB case. (NYT)
  • Amazon hit with massive anti-trust lawsuit in EU. (WSJ)
Categories
STAKE: The Leadership Podcast

Leaders Must S.E.E. Clearly


Everything rises and falls with leadership. Especially because of recent events, if you want yourself and your team to come out of this in a positive way, you have to S.E.E. clearly. If you’re wondering how to do that, I can help.
Today’s episode is quick and straight to the point. To understand the next right action you need to take as a leader, check out the tip in today’s episode!
———-
Enter the Goodreads Kindle giveaway of my book LEVEL UP here: https://www.goodreads.com/giveaway/show/307739-level-up-elevate-your-game-and-crush-your-goals
Order your physical or Kindle copy of LEVEL UP here: https://www.amazon.com/Level-Up-Elevate-Crush-Goals/dp/1640951970/ref=sr_1_1?keywords=level+up+van+hooser&qid=1580067591&sr=8-1
———-
If you’re looking for tangible action steps and refreshing insights to help ignite the power of your own leadership journey, sign up for my weekly leadership blog HERE.
If your business would benefit from higher-performing leaders, check out more information about the comprehensive leadership development training I do HERE.
If you want to reach out to me directly, email alyson@vanhooser.com.
If you enjoyed this episode, will you please subscribe and leave a review? Your reviews help this show get discovered by more incredible leaders just like you. I’m obsessed with helping leaders ignite their performance results and I’d love to have you help me make an impact! Thank you so much!
P.S. Share and tag me on social — @AlysonVanHooser — and I’ll share your comments and big takeaways on my feed!

Categories
Compliance and Coronavirus

Ray Dookhie on Fraud Risk and Audit


Welcome to the newest addition to the Compliance Podcast Network, Compliance and Coronavirus. In this episode, I am joined by Ray Dookhie is a managing director at K2 Intelligence FIN, with more than 25 years of experience in compliance, integrity risk monitoring and management, and investigations. His experience spans industries, with specific focus on financial services, life sciences, and real estate and construction. Prior to K2 Intelligence FIN, he worked for KPMG for over 20 years, most recently as a senior director with KPMG’s forensic services practice. Earlier in his career, Ray was a fraud investigator with the New York County District Attorney’s Office and the New York City Department of Investigation. He is a certified public accountant.
In this episode, we consider some of the challenges for compliance professionals in the current environment around fraud and risk management; what are some of the more holistic / programmatic things that compliance professionals can do to overcome some of these challenges at this point in time and conclude with what are some of the more tactical things that compliance professionals can do to overcome some of these challenges.
For more information on K2 Intelligence FIN, check out there website, here.

Categories
Everything Compliance

Everything Compliance-Episode 60


Welcome to the only roundtable podcast in compliance. Today, we have a serving of Jonathan Armstrong, Jay Rosen, Matt Kelly, and our newest panelist Jonathan Marks with a veritable potpourri of topics and issues. Rants and shouts outs (with commentary) conclude this episode.

  1. Jonathan Armstrong celebrates the anniversary of GDPR by looking back over the past year at some of the key decisions and enforcement actions.
  2. Jay Rosen takes a look at a rare release of a monitor’s report, in the Wynn Casino monitorship and data mines it for the compliance professional.
  1. Matt Kelly considers the difference in response by Facebook v. Twitter in the incendiary and racist tweets by Donald Trump.
  1. Jonathan Marks looks at the DOJ’s 2020 Update to the 2019 Evaluation of Corporate Compliance Programs.
  1. Tom Fox talks about how fighting racism and white supremacy is the responsibility of everyone. It is based on piece by Ben DiPietro here.

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 Compliance Evangelist. Everything Compliance is a part of the Compliance Podcast Network. He can be reached at tfox@tfoxlaw.com