Tag: code of ethics

Categories
Everything Compliance

Everything Compliance – Episode 125 – The Post – Thanksgiving Edition

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have the quartet of, Jonathan Armstrong, Matt Kelly, Karen Woody, and Jay Rosen all hosted by Tom Fox, joining us on this episode of our fan-fav Shout Outs and Rants section.

1. Matt Kelly says the US Supreme Court Code of Ethics is already broken. Kelly has a book review shout-out to Peter Cappelli for his book Our Least Important Asset.

2. Karen Woody takes a deep dive into the SEC enforcement action against Solar Winds and its current CISO. She shouts out to Megan Rapinoe and Ali Krieger who both retired from professional soccer for their great careers and leading lights of social justice.

3. Jonathan Armstrong talks about David Cameron returning to the UK government and the need to eliminate sleaze in government. He rants about sliced salami announcements by politicians.

4. Jay Rosen looks at the ongoing corruption scandal in Santa Clara County CA, involving the former sheriff and the alleged sale of concealed carry permits. He shouts out to Giles Martin, son of Sir George Martin, for his remastering of the Beatles’ Red and Blue albums.

The members of the Everything Compliance are:

•       Jay Rosen– Jay is Vice President of 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 can be reached at jtmarks@gmail.com.

The host and producer, ranter (and sometimes 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
10 For 10

10 For 10: Top Compliance Stories For The Week Ending November 18, 2023

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.

  • Corruption in lithium mining in Africa.   (Inside Climate News)
  • The State of Texas moves to anti-business.  (Bloomberg)
  • The legal baggage at Fox News awaiting Lachlan. (FT)
  • 2 sexual harassment claims per week at McDonalds UK (TT)
  • Can Barclay’s move beyond scandal (and Jes Staley)? (FT)
  • Chinese corruption in Nepal? (NYT)
  • FDIC hires a law firm to investigate allegations of a toxic workplace. (FT)
  • The law firm said it didn’t know the partner was living with Judge. (Reuters)
  • Matt Kelly declares Supreme Court Code of Ethics is broken (already).  (Radical Compliance)
  • Safe for businesses to return to China? (NYT)

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

Connect with Tom 

Instagram

Facebook

YouTube

Twitter

LinkedIn

Categories
Daily Compliance News

Daily Compliance News: November 17, 2023 – The Broken Code 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 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.

Stories we are following in today’s edition:

  • The top really does set the tone.  (WSJ)
  • Matt Kelly declares SCt Code of Ethics is broken (already). (Radical Compliance)
  • Is it safe for businesses to return to China? (NYT)
  • Who needs a lawyer? (Reuters)
Categories
Coffee and Regs

Code of Ethics: A Win-Win-Win for Compliance, Employees and the SEC

Code of Ethics: A Win-Win-Win for Compliance, Employees and the SEC

 

In this episode, our team of former CCOs, Dan Haynes and Victoria Olson discuss why a code of ethics tool is not only beneficial to compliance but to employees and to stay on the SEC’s good side for upcoming exams.

 

 

About Our Guest Speakers:

Dan Haynes joined CSS in 2017 providing consulting services to investment advisers, registered investment companies and private investment funds. Prior to joining CSS, Dan was the Chief Compliance Officer for Summit Strategies Group. Summit is a large institutional pension consultant in the Midwest with multiple private funds – ultimately around $180 billion in assets under administration. Dan implemented several aspects of, and oversaw the entire compliance program. His time there resulted in experience in NFA/CFTC registration and regulation, Private Fund oversight, and the pension consulting world overall. Prior to Summit, Dan was the Chief Compliance Officer for Buckingham Asset Management and BAM Advisor Services. Dan is also a member of the Charles Schwab Compliance Advisory Board.

 

 
Victoria Olson has been a compliance consultant for several years, most recently with Alaric Compliance Services. She is a Certified Regulatory and Compliance Professional (CRCP issued by FINRA Institute at Wharton), and a Chartered Life Underwriter. She also completed the Certified Anti-Money Laundering specialist (CAMS) course. Victoria previously served as the Chief Compliance Officer to an SEC-registered investment adviser and has extensive experiencing working with RIAs. Prior to consulting, Victoria was Chief Compliance Officer and AML Compliance Officer at Forethought Financial, Director of Compliance at Prudential Financial, and a Senior Compliance Officer at The Phoenix Companies. Victoria formerly served as Chair of the FINRA District 11 Committee and successfully completed the FINRA Series 4, 6, 7, 24 and 66 Examinations.