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Caremark Claims, Part 2

by Admin | Jul 14, 2022

Welcome to The Woody Report, where Washington & Lee School of Law Associate Professor Karen Woody and host Tom Fox discuss issues on white collar crime, compliance issues, international corruption, securities and accounting fraud, and internal corporate…

July 14, 2022 the Bob, Dodge and Weave edition

by Admin | Jul 14, 2022 In today’s edition of Daily Compliance News: Snyder continues to dodge the Congressional subpoena. (WSJ) Yet more corruption in Iran (are you surprised?) (WaPo) SEC wins gag order ruling, maybe. (Reuters) What’s $79bn among execs? (BBC)

CCO Skills at Mid-Century: Part 2 – Social Skills Going Forward

by Admin | Jul 14, 2022 I am looking at what skills will be needed for the mid-century Chief Compliance Officer (CCO). Moving into the CCO chair today is far beyond compliance expertise and legal knowledge. In Part 1 of this two-part series, I reviewed the soft skills most current CCOs have….

Mirror Mirror

by Admin | Jul 13, 2022 In this episode of Trekking Through Compliance, we consider the episode Mirror Mirror, which aired on October 6, 1967, Star Date unknown. During transport in an ion storm, the Away Team is transported into a parallel universe and a mirror image of Enterprise. There…

Sustain Your Game with Alan Stein Jr.

by Admin | Jul 13, 2022 What do Kobe Bryant, LeBron James, Kevin Durant, and Steph Curry have in common? Besides being world-class professional basketball players, they have also had the same performance coach, our guest on the #podcast Alan Stein Jr. While these men may be peak performers…

Luckenbach Legacy: The Art of Becky Crouch Patterson

by Admin | Jul 13, 2022 Welcome to the award-winning The Hill Country Podcast. The Texas Hill Country is one of the most beautiful places on earth. In this podcast, Hill Country resident Tom Fox visits the people and organizations that make this the most unique areas of Texas. Join Tom as he…

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TD Bank: Part 5 – The Reckoning

October 18, 2024October 18, 2024 | Blog

Today, I want to review the OCC Consent Order to see the bank’s requirements. This is separate from the DOJ requirements under the Bank’s Plea Agreement(s) and the FinCEN Consent….

TD Bank: Part 4 – Watergate, Actual Knowledge and Conscious Indifference

October 17, 2024October 17, 2024 | Blog

Mike Volkov often told the story of watching the Watergate Hearings as a teenager and being a seminal influence on his later professional life in the legal profession and government…

TD Bank: Part 3 – Lessons Learned for Compliance

October 16, 2024October 16, 2024 | Blog

We continue our exploration of the resolution of the AML/BSA enforcement action involving the TD Bank US (the Bank) wholly owned by the TD Bank Group, a publicly traded (NYSE:…

TD Bank: Part 2 – When Profits Trump Compliance: A Recipe for Corporate Disaster

October 15, 2024October 14, 2024 | Blog

We continue our exploration of the resolution of the AML/BSA enforcement action involving TD Bank US (the Bank), which is wholly owned by TD Bank Group, a publicly traded (NYSE:…

TD Bank: Part 1 – Money Laundering and the China Syndrome

October 14, 2024October 14, 2024 | Blog

Last week, representatives of the US government announced one of the largest sets of fines and penalties for failures in anti-money laundering ever laid down. It involved TD Bank N.A….

Deere FCPA Enforcement Action: Lessons on Post-Acquisition Integration and Investigation in M&A

October 11, 2024October 11, 2024 | Blog

We recently had a Foreign Corrupt Practices Act (FCPA) enforcement action that reminded me that everything old is new again in anti-corruption compliance. The Securities and Exchange Commission (SEC) FCPA…