Tag: Blue Bell Ice Cream

Categories
Everything Compliance

Everything Compliance – Episode 115 – The Insider Trading (Or Not) Edition

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. Everything Compliance has been honored by W3 as the top podcast talk show. In this episode, we have the quartet of Karen Woody, Jonathan Marks, Matt Kelly, and from across the pond, Jonathan Armstrong. We consider a veritable potpourri of issues, including the sentence given to Joe Sullivan, insider trading, the COSO Fraud Risk Management Framework, and a new report on whistleblower best practices. We conclude with our fan-fav Shout Outs and Rants section.

1. Matt Kelly looks at the joint IIA/ACFE report on Building a Best-in-Class Whistleblower Hotline. He shouts out to Newton Minow, the first government official to say television was a ‘vast wasteland.’

2. Jonathan Marks discusses his work on the COSO Framework for Fraud Risk Management. He shouts out to BlueBell Ice Cream for creating the new flavor, Dr. Pepper Float.

3. Tom Fox shouts out to Mike Shannon, who played with the St. Louis Cardinals for over 10 years, went to 3 World Series, and then had a 60-year career as an announcer with the team. He is also the only MLB player whom Tom got an autograph from.

4. Karen Woody looks at recent insider trading cases involving the crypto world and asks if crypto is not a security, who can it be insider trading. Karen shouts out to the Netflix show ‘Jury Duty.’

5. Jonathan Armstrong considers the sentence handed down to former Uber executive Joe Sullivan, wonders about the Judge’s admonition of no more leniency, and asks what it means for GDPR enforcement. He shouts out to all those workers who got London ready for the coronation.

The members of Everything Compliance are:

•       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com

•       Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu

•       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 jonathan.armstrong@corderycompliance.com

•       Jonathan Marks is Partner, Firm Practice Leader – Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.com

The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox, the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network.

Categories
Everything Compliance - Shout Outs and Rants

Everything Compliance – Episode 115, Shout Outs and Rants

Welcome to the only roundtable podcast in compliance. Everything Compliance was honored by W3 as a top talk show in podcasting. In this episode, we have the gang of Jonathan Marks, Matt Kelly, Jonathan Armstrong, Tom Fox, and Karen Woody.

  1. Matt Kelly shouts out to Newton Minow, the first government official to say television was a ‘vast wasteland’.
  2. Jonathan Marks shouts out to Blue Bell Ice Cream for creating the new flavor, Dr. Pepper Float.
  3. Tom Fox shouts out to Mike Shannon, who played with the St. Louis Cardinals for over 10 years, went to 3 World Series, and then had a 60-year career as an announcer with the team. He is also the only MLB player whom Tom got an autograph from.
  4. Karen Woody shouts out to the Netflix show ‘Jury Duty.’
  5. Jonathan Armstrong shouts out to all those workers who got London ready for the coronation.

The members of Everything Compliance are:

•       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com

•       Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu

•       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 jonathan.armstrong@corderycompliance.com

•       Jonathan Marks is Partner, Firm Practice Leader – Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.com

The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network.

Categories
2 Gurus Talk Compliance

2 Gurus Talk Compliance – Episode 2

What happens when two top compliance commentators get together? They talk compliance of course. Join Kristy Grant-Hart and Tom Fox for their new podcast, 2 Gurus Talk Compliance! But it is not simply Kristy and Tom talking compliance. In this podcast series Kristy and Tom review  other top commentators in compliance as well. In this podcast, we will consider all things compliance, corporate ethics, ESG, governance, and whatever else is on our minds and the minds of other experts in the field. Kristy and Tom explore all of these topics with expertise and wit.

2 Gurus Talk Compliance will include a deep dive into the latest headlines, as well as ask hard hitting questions and provide valuable insights on the current happenings of the world. Don’t miss out this week, as Tom and Kristy look at how the new DOJ pilot program and update to the evaluation of corporate compliance program guidance will affect dailiness operations.

 Highlights Include

·      Moral hazard for DOJ/Compliance

·      Global Corporate Governance Trends for 2023

·      Assessment of Monaco/Polite Speeches and new ECCP

·      Compliance in the Metaverse

·      Five hard leadership bills to swallow.

·      Former Blue Bell CEO Pleads Guilty

·      $9 Million Cow Manure Ponzi Scheme

·      Lessons Learned from Ericsson’s DPA Breach

·      Serious Fraud Office Abandons Prosecution

·      2023 Evaluation of Corporate Compliance Programs

 Notable Quotes

1.      “The effect on the economy is much more severe than I would have ever thought. The market tanked, basically, for 3 days. And of course, the market runs on perceptions. Pretty much like bank runs run on per perceptions.”

2.     “We had some assets disappear over the weekend. We’ve had the federal government come in at backstop that amount, full amount, not just limited to the 250000 per person or entity that the FDIC ensures I think banking regulations will probably change forever because of this event.”

3.      “A couple of weeks ago, we had 2 major speeches by deputy attorney general Lisa Monaco and Kenneth Polite, at the ABA white collar conference that were followed by the release of an updated 2023 version of the Evaluation of Corporate Compliance Programs, a new policy regarding monitors as well, and the announcement of a pilot program.”

Resources 

  1. Moral hazard for DOJ/Compliance 
  2. Global Corporate Governance Trends for 2023 
  3. Assessment of Monaco/Polite Speeches and new ECCP
  4. Compliance in the Metaverse
  5. Five hard leadership bills to swallow
  6. Former Blue Bell CEO Pleads Guilty to Misdemeanor Over Listeria Outbreak
  7. Central Valley Man Pleads Guilty to Nearly $9 Million Cow Manure Ponzi Scheme
  8. Lessons Learned from Ericsson’s DPA Breach: An Internal Investigation Nightmare
  9. U.K. Serious Fraud Office Abandons Prosecution of Former G4S Executives
  10. DOJ Announces Major Changes To Corporate Compliance Program Evaluation

Connect with Kristy Grant-Hart on LinkedIn

Spark Consulting

Connect with Tom Fox on Linkedin

Categories
Daily Compliance News

March 13, 2023 – The SFO Punts Again Edition

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.

Stories we are following in today’s edition of Daily Compliance News:

  • SFO drops yet another prosecution. (WSJ)
  • Former SEC Commissioner joins SEC whistleblower firm. (WSJ)
  • Former Blue Bell CEO pleads guilty to a misdemeanor. (WSJ)
  • Foreign company supply chains face more scrutiny. (WSJ)
Categories
Everything Compliance

Episode 103 – the All Shout Outs and Rants Edition

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In 2021, Everything Compliance was honored by W3 as a top talk show in podcasting. In this episode, we have the quartet of Jonathan Marks, Jonathan Armstrong, and Matt Kelly. In this episode, devote the entire episode to some of our favorite shout-outs and rants and mine them for compliance lessons learned. We conclude with recent news stories for a contemporary Shout Outs and Rants section.

1. Jay Rosen has a series of shout-outs and rants. He rants about former VP Dick Cheney, who created the conditions for today’s GOP leading to the defeat of his daughter Liz Cheney in her primary; spinless Roger Goodell for his hapless leadership of the NFL, and concludes with a shout-out to Little Leaguer, Isaiah Jarvis who hugged Kaiden Shelton after being hit in the head by a Shelton pitch. Rosen rants about ESPN stupidly losing the rights to broadcast Big 10 football.

2. Matt Kelly rants about Harmony Montgomery, who died after 2 years of abuse by her father because no one believed her mother that she was in danger. His lesson is that we must listen to whistleblowers. Kelly has a dual shout-out and rant. He shouts out to the campaign being run by John Fetterman for Senate in Pennsylvania and rants about the GOP for seeking the unredacted affidavit which supports the warrant to search Mar-a-Lago.

3. Jonathan Marks rants about the restaurant Chipotle and how they treat live in-person orders differently from online orders you pick up at a store. He shouts out to USC student Jake Freeman for making $110MM on Bed Bath and Beyond stock and rants about the continued failure to depart a CAE or CCO an 8K event.

4. Tom Fox has a cautionary tale (with a tip of the hat to fellow podcaster Tim Harford) about the importance of good corporate governance in the saga of Blue Bell Ice Cream.

5. Jonathan Armstrong rants about the damage to the image of the legal profession in the UK down by Neil Gerrard during his time at Dechert for their representation of ENRC. He rants about cookie claimants who don’t take the summer off.

The members of Everything Compliance are:

•       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com

•       Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu

•       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 jonathan.armstrong@corderycompliance.com

•       Jonathan Marks is Partner, Firm Practice Leader – Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.com

The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox, the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network.

Categories
Everything Compliance - Shout Outs and Rants

Everything Compliance-Shout Outs and Rants from Episode 103

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In 2021, Everything Compliance was honored by W3 as a top talk show in podcasting. In this episode, we have the quartet of Jonathan Marks, Jonathan Armstrong, and Matt Kelly.

1. Jay Rosen rants about ESPN stupidly lost the rights to broadcast Big 10 football.

2. Matt Kelly has a dual shout-out and rant. He shouts out to the campaign being run by John Fetterman for Senate in Pennsylvania and rants about the GOP for seeking the unredacted affidavit which supports the warrant to search Mar-a-Lago.

3. Jonathan Marks also has a dual shout-out and rant. He shouts out to USC student Jake Freeman for making $110MM on Bed Bath and Beyond stock and rants about the continued failure to make the departure of a CAE or CCO an 8K event.

4. Tom Fox has a cautionary tale (with a tip of the hat to fellow podcaster Tim Harford) about the importance of good corporate governance in the saga of Blue Bell Ice Cream.

5. Jonathan Armstrong shouts out to cookie claimants who don’t take the summer off.

The members of Everything Compliance are:

•       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com

•       Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu

•       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 jonathan.armstrong@corderycompliance.com

•       Jonathan Marks is Partner, Firm Practice Leader – Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.com

The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox, the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network.

Categories
Daily Compliance News

May 2, 2020-the Would You Ever Eat Bluebell Again business edition


In today’s edition of Daily Compliance News:

  • What about sustainability? (WSJ)
  • No equal pay for women’s soccer. (WSJ)
  • US charges two men for Iranian sanctions violation. (WSJ)
  • BlueBell CEO charged criminally. (NYT)