Tag: Bill Hwang

Daily Compliance News: November 18, 2024 – The Top Wall Street Cop Edition

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Post date November 18, 2024
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Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the Daily Compliance News—all from the Compliance Podcast Network. Each day, we consider four stories from the business world: compliance, ethics, risk management, leadership, or general interest for the compliance professional.

The new administration has massive corruption. (The New Republic)
Jay Clayton was picked to head SDNY. (FT)
Founder of Crypto mixer sentenced to 3 years in prison. (WSJ)
US says Bill Hwang should get 21 years. (Reuters)

For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here.

Check out the full 3-book series, The Compliance Kids, on Amazon.com.

Tags Bill Hwang, corruption, DOJ, Jay Clayton, SDNY

Daily Compliance News

Daily Compliance News: July 12, 2024 – The New Normal Edition

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Post date July 12, 2024
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Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee and listen to the Daily Compliance News. All from the Compliance Podcast Network.

Each day, we consider four stories from the business world: compliance, ethics, risk management, leadership, or general interest for the compliance professional.

In today’s edition of Daily Compliance News:

The new normal of office life. (FT)
DOJ seeks to boost defense of TikTok divestiture law. (Reuters)
Former Indonesian Minister sentenced to 10 years for corruption. (Bloomberg)
Anti-communist fraudster trial heads to jury (NYT)

For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

Tags Archegos, Bill Hwang, corruption, fraud, Remote work, WFH

10 For 10

10 For 10: Top Compliance Stories For The Week Ending May 18, 2024

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Post date May 18, 2024
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Welcome to 10 For 10, the podcast that brings you the week’s top 10 compliance stories in one podcast each week.

Tom Fox, the Voice of Compliance, brings to you, the compliance professional, the compliance stories you need to be aware of to end your busy week.

Sit back, and in 10 minutes, hear about the stories every compliance professional should be aware of from the prior week.

Every Saturday, 10 For 10 highlights the most important news, insights, and analysis for compliance professionals, all curated by the Voice of Compliance, Tom Fox.

Get your weekly filling of compliance stories with 10 for 10, a podcast produced by the Compliance Podcast Network.

The SFO is reviewing LIBOR prosecutions. (FT)
Opening statement in the Senator Menendez trial. (Bloomberg)
The DOJ says Boeing violated its DPA. (Reuters)
PCAOB adopts tighter rules on auditor quality. (WSJ)
Did DOJ steal Unaoil prosecution from SFO? (Economist)
The FDIC head goes to Congress. It’s not pretty. (NYT)
Bill Hwang lied. (This is my shocked face.) (FT)
Investment advisors must vet customers. (WSJ)
Meta faces an EU probe over child abuse protections. (WSJ)
FIFA rolls back ABC reforms. (NYT)

For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

You can check out the Daily Compliance News for four curated compliance and ethics related stories each day, here.

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Tags Bill Hwang, Boeing, DOJ, EU, FDIC, FIFA, Meta, Senator Robert Menendez, SFO

Daily Compliance News

Daily Compliance News: May 14, 2024 – The Roaring Kitty Returns Edition

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Post date May 14, 2024
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Each day, we consider four stories from the business world: compliance, ethics, risk management, leadership, or general interest for the compliance professional.

In today’s edition of Daily Compliance News:

GameStop roars back. (BBC)
Senator Menendez trial begins. (WaPo)
Investment advisors must vet customers. (WSJ)
Bill Hwang lied. (This is my shocked face.) (Reuters)

For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

Tags AML, Bill Hwang, GameStop, SEC, Senator Robert Menendez

Daily Compliance News

Daily Compliance News: May 3, 2024 – The TikTok and Bribery Edition

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Post date May 3, 2024
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Each day, we consider four stories from the business world: compliance, ethics, risk management, leadership, or general interest for the compliance professional.

In today’s edition of Daily Compliance News:

TikTok discloses internal investigations of bribery and corruption. (South China Morning Post)
CFTC names its first AI chief. (WSJ)
Bill Hwang (of Archegos; remember him) goes to trial on May 8. (Bloomberg)
The Exxon Pioneer merger was approved (with a caveat). (NYT)

For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

Tags Archegos, Bill Hwang, CFTC, Exxon-Pioneer merger, TikTok

Daily Compliance News

December 5, 2022 the Crazy Like a Fox Edition

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Post date December 5, 2022
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Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance brings you four compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee and listen to the Daily Compliance News. All, from the Compliance Podcast Network.