Categories
This Week in FCPA

Episode 205 – the Not So Fast edition


As federal judge Emmet Sullivan reminded the Justice Department that he, not they, run his court this week, self-distancing Tom and Jay are back to consider some of the top compliance articles and stories which caught their collective eye this week.

  1. Former Wal-Mart lawyer sues for allegedly refusing to change internal investigation report on FCPA. Matt Kelly in Radical Compliance. Dylan Tokar in the WSJ Risk & Compliance Journal.
  2. How to mobilize for an internal investigation. In the WSK Risk & Compliance Journal.
  3. What is trade based money laundering? Jon Rausch in Dipping Through Geometries.
  4. Moving towards a more agile compliance and internal audit. Alex Movchan interviews Alkistis Gkiosi for the Risk and Compliance Platform Europe.
  5. What steps can you take to safeguard a compliance program during Covid-19? Kara Brockmeyer, Andrew M. Levine and Philip Rohlikin opine in NYU’s Compliance and Enforcement Blog.
  6. Should the role of the CCO be expanded? Klaus Moosemeyer says yes in the FCPA Blog.
  7. Using data analytics in a compliance regime. Szilvia Andriasik in the FCPA Blog.
  8. A new cyber-compliance playbook? Rod Rosenstein & Sumon Dantiki in Compliance Week. (sub req’d)
  9. How to handle an internal investigation in during Covid-19? Lara Burke & Dominique Strieder in Compliance Week. (sub req’d)
  10. Interested in moving to the CCO chair? Check in on this month’s edition of The Compliance Life where Tom visits with Ellen Hunt, CCO at AARP. In this Part 2, Hunt relates how to move towards the CCO chair. New episodes appear each Tuesday in May at 1 PM CST. The Compliance Life is now available on iTunes.
  11. On Compliance and Coronavirus this week: Megan Dougherty explains why you should be pod-curious; Andrew Rawson on the new normal of employee relations during and after Covid-19; JohnPetrovski and Jim Belin  on how the economy may reopen and the markets play out. Compliance and Coronavirus.
  12. On the Compliance Podcast Network, this month topic: written standards; all on 31 Days to a More Effective Compliance Program. This week’s offerings: Monday-Operationalization of your Code of Conduct; Tuesday-Introduction to policies and procesures; Wednesday-Revising your policies and procedures; Thursday– Policies and procedures on gifts and business entertainment; Friday– Policies and procedures on travel. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel.

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

May 15, 2020-the Pots and Kettles edition


In today’s edition of Daily Compliance News:

  • Boeing CEO predicts demise of one major airline. (WSJ)
  • Trump Administration ponders ways to decimate USPS. (WaPo)
  • 4th Circuit reinstates emoluments suit. (Reuters)
  • SEC brings charge against 2 companies over Covid-19 testing claims. (WSJ)
Categories
Compliance and Coronavirus

Jim Belin and John Petrovski on Reopening the Economy


Welcome to the newest addition to the Compliance Podcast Network, Compliance and Coronavirus. As the Voice of Compliance, I wanted to start a podcast which will help to bring both clarity and sanity to the compliance practitioner and compliance profession during this worldwide health and healthcare crisis. In this episode, I am joined by Jim Belin, as self-styled ‘contrarian investor’ and John Petrovski, a long time commercial real estate specialist in the lending arena. We take a deep dive into the reopening of the economies of the states in which we reside and where the economy may be going into 2012 and beyond. They are both speaking for themselves and not any former or current employers.

Categories
ComplianceLIVE

Episode 20: Compliance Investigations in the Time of Coronavirus

Amanda welcomes ComplianceLine’s Director of Compliance Jenelle Stone Case to the studio to discuss tips on how to conduct compliance investigations remotely.

Check out more episodes and full episode videos at ComplianceLine.com, and don’t forget to subscribe on your favorite podcast platform!

Categories
Life with GDPR

Verbal Reporting under GDPR


In this episode I visit with Jonathan Armstrong are back to discuss issues relating to data privacy, data protection and GDPR. Today, we consider the issue of verbal reporting under GDPR, in the context of the case of Scott v. LGBT Foundation. Some of the highlights are:

  1. What were the issues and interests involved in this case?
  2. What is a relevant filing system for automated data under GPDR?
  3. When does the public health and safety outweigh data privacy?
  4. Was Scott’s data processed by the LGBT Foundation?
  5. What is the necessity test?

Check out the Cordery Compliance, client alert on the case of Scott v. LGBT Foundation, click here. For more information on Cordery Compliance, go their website here. Also check out the GDPR Navigator, one of the top resources for GDPR Compliance by clicking here.

Categories
12 O’Clock High-a podcast on business leadership

Leadership Lessons from William Howard Taft


Richard Lummis and I are back with more business leadership lessons. In this episode of 12 O’Clock High, a podcast on business leadership, we take a look at leadership lessons from William Howard Taft, the 27th President, who had the misfortune to follow one of America’s greatest and most popular Presidents, Theodore Roosevelt. Taft was a mountain of a man, weighing over 300 lbs. He is also the only President to become Chief Justice of the US Supreme Court after he left the office of the Presidency.
Highlights of this podcast include:

  1. Background of Taft.
  2. Education and early professional life in Ohio.
  3. Move to Washington, role of Nellie and work in the Philippines.
  4. Work in the Roosevelt Administration.
  5. Presidential Term.
  6. 1912 Presidential election.
  7. Final thoughts on leadership lessons.

Resources

  1.  National Park Service article on his home and upbringing.
  2. Taft as good-hearted
  3. Taft, TR and the Bully Pulpit-Forbes
  4. General Review of Taft
Categories
Daily Compliance News

May 14, 2020-the Federal Judge edition

 
In today’s edition of Daily Compliance News:

  • Old foods make comeback. (WaPo)
  • Dos Santos says evidence of fraud is fake. (YaHoo News)
  • Alstom accused of corruption yet again. (The Guardian)
  • Judge handling Flynn conviction says not so fast. (WSJ)
Categories
Daily Compliance News

May 13, 2020-the Landlords in Trouble edition


In today’s edition of Daily Compliance News:

  • Will landlords face a reckoning? (NYT)
  • Morgan Stanley pays $5MM for hiding fees. (NYT)
  • Lawyer accuses Wal-Mart of termination for not changing investigation report. (WSJ)
  • Iron Mountain discloses potential sanctions violations. (WSJ)
Categories
Compliance and Coronavirus

Andrew Rawson on Employment Issues from Coronavirus and the Reopening


Welcome to the newest addition to the Compliance Podcast Network, Compliance and Coronavirus. As the Voice of Compliance, I wanted to start a podcast which will help to bring both clarity and sanity to the compliance practitioner and compliance profession during this worldwide health and healthcare crisis. In this episode, I am joined by Andrew Rawson, co-founder and Chief Learning Officer at Traliant. We explore employment issues during the coronavirus health crisis and those which are emerging as states being reopening throughout the country.

Categories
Great Women in Compliance

Alison Taylor on the Intersection of CSR and Compliance


Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley. Like Compliance, Corporate Social Responsibility (CSR) is an area which has had an increasing spotlight over the past few years.  As a result, both of these functions have evolved and are more aligned in the past.  In this episode, Lisa Fine visits with Alison Taylor. One of the trailblazers in this area is Alison Taylor, who is the Executive Director of Ethical Systems,  a Senior Advisor at BSR and an adjunct professor at NYU Stern School of Business.
Alison joins Lisa Fine on Great Women in Compliance to discuss CSR and Compliance, how they intersect, and where there may be tensions between them.  They discuss how ethics and ethical behavior are the underpinnings of both areas and how this becomes even more important in times like now, with COVID-19.
Alison has worked all over the world and discusses her experiences as a woman in some of her roles, including what she wishes she knew when she started out.
This episode was released the week prior to Compliance Week, where Lisa is on a panel that Alison is moderating called Week. “The CCO & CSR: The Impact of Corporate Social Responsibility on Compliance Programs.”  Compliance Week has been a great supporter of women in compliance (as well as the podcast), and now they have introduced us to another #GWIC.
Join the Great Women in Compliance community on LinkedIn here.