Tag: compliance

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This Week in FCPA

This Week in FCPA-Episode 249 – the Whistleblower edition


Big news in whistleblower information and an award this week. Tom and Jay are back to look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA. We are joined by special guest Asha Palmer to talk about the upcoming Converge21 Workshop Edition.
 Stories

  1. SEC whistleblower program big award and news. Mengqi Sun in WSJ Risk and Compliance Journal. Matt Kelly in Radical Compliance. How did compliance manage reporting during Covid-19. Jaclyn Jaeger in Compliance Week. (sub req’d)
  2. Human capital management. Paul Washington and Rebecca Ray in the Harvard Law School Forum on Corporate Governance.
  3. NYDFS cybersecurity enforcement action against National Securities. In NYU Compliance and Enforcement Blog.
  4. Post pandemic business resiliance. Jim Deloach in CCI.
  5. The cost of unethical requests. Isaac H. Smith, Maryam Kouchaki, and Justin Wareham in the MIT Sloan Management Review. (sub req’d)
  6. To Russia with Love. Mike Volkov on the US ramping up sanctions on Russia. For a deeper dive check out this week’s episode of Embargoed! On the Compliance Podcast Network.
  7. ComEd as a wake up call. Vincent Wu in the Global AntiCorruption Blog.
  8. Making your values stick. Brett Beasley in Center for Ethical Leadership.
  9. The role of complexity in compliance. Risk and Compliance Platform Europe.
  10. Can the government make us more ethical? Jeff Kaplan explores in the Conflict of Interest Blog.

Podcasts and Events

  1. Tom and Megan Dougherty are doing a special podcast series around The Falcon and The Winter Soldier, currently streaming on Disney+. Check out Episodes 1&2, Episode 3, Episode 4, Episode 5.
  2. Affiliated Monitors, Inc.’s Donald Sternand Eric Feldman CFE, CIG, CCEP-I host special guest Rod J. Rosenstein, former Deputy Attorney General and currently a partner at King & Spalding, for part two of an engaging discussion on “The Past, Present and Future of Monitoring”. Rod and Eric conclude with key takeaways at the end of this podcast.
  3. This month on The Compliance Life, Tom welcomes Jonathon Kellerman. In Episode 1, Jonathon discusses the path he took to compliance. In Episode 2, he talked about his early professional career in healthcare compliance consulting. In Episode 3, he moves to the CCO Chair.
  4. For more information on the Converge21, the Workshop Edition, click here.
  5. CCI releases a new eBook, The FCPA Year in Review by the Compliance Evangelist, Tom Fox. You can obtain a copy here. Best of all its available at no charge.
  6. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, Eric Young joins Tom for a deep dive into the role of internal controls in a best practices compliance program.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Coffee and Regs

ESMA Updates, MiFIR & Transaction Reporting Trends

ESMA Updates, MiFIR & Transaction Reporting Trends

 

In this episode, CSS’s Chief Product Officer Ronan Brennan sits down with Regulatory Specialist Nicklas Nilsson to discuss the latest updates from ESMA on MiFIR in the world of transaction reporting and the trend to consolidate regulatory reporting and data going forward.

 

About Our Guest Speakers:

 

Ronan Brennan is the Chief Product Officer at Compliance Solutions Strategies (CSS). In his role, he has direct responsibility for the strategic evolution of the global suite of CSS products and regulatory content. Managing product in CSS involves ensuring the product suite is ready to support both the current and future compliance management and regulatory reporting needs of investment management and advisory firms globally. Ronan participates as a speaker in many industry events each year, in addition to publishing a company blog and development of thought leadership materials. Ronan has 26 years of experience in the technology sector, 21 of which have been spent in the investment data management and regulatory reporting space.

 

 

Nicklas Nilsson is a Regulatory Specialist at CSS concentrating on global transaction reporting, including SFTR, MiFIR and EMIR. Nicklas is currently in a cross-functional role covering the regulations from analysis to implementation. He has eight years of experience working in the finance industry, including operational experience in fund reporting and regulatory implementation. Prior to joining CSS, Nicklas held positions at Swedbank, SEB and Wahlstedt Sageryd.

 
 

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Coffee and Regs

Mastering the Marketing Rule

Mastering the Marketing Rule

 

In this episode, CSS’s Co-Executive Directors of Compliance Services Keith Marks and Jackie Hallihan sit down to discuss actionable takeaways on implementing the SEC’s new Marketing Rule for registered investment advisers within the next 18 months.

 

 

About Our Guest Speakers:

 

Keith Marks is involved in the management and distribution of Compliance Solutions Strategies’ (CSS) products and services. He works across CSS to find regulatory data and reporting solutions that investment managers need. Keith manages a team of Directors, Consultants and Compliance Managers in CSS’s Compliance Services team who provide consulting, annual compliance program reviews, risk assessments, on-site mock examinations, registration services, and cybersecurity services to institutional wealth managers, private fund managers, retail wealth advisers, and registered investment companies. He also helps coordinate educational conference agendas and speakers. Keith is an author, product contributor, and thought leader. His product contributions have included the design of the Form ADV Part 2 Template distributed to over 6,000 advisers in 2010-12, and his vision of compliance program management built into CSS’s Compliance Management solution. With his colleagues, Keith’s most recent significant publication is “Big Data, Using Data Analytics”, Modern Compliance vol. 2, ch. 23 (2017). Keith joined Ascendant in 2007, and became a part of CSS in 2016. Prior to Ascendant, Keith was an instructor for the Center for Compliance Professionals and Director of Investment Adviser Services at National Regulatory Services (NRS). Keith practiced law previously as an Associate with Day, Berry & Howard LLP (now Day Pitney LLP), a Hartford, Connecticut law firm in 1996-98. Keith served as a law clerk for two years in Connecticut’s Supreme Court and Appellate Court after earning his Juris Doctor degree Magna Cum Laude from Western New England University School of Law and his Bachelor of Arts Magna Cum Laude from the University of Connecticut. He is a member of the State Bar of Connecticut, and is actively involved in raising funds for the Polycystic Kidney Foundation (www.pkdcure.org). Keith served as President of the New England Broker Dealer Investment Adviser Association (NEBDIAA), a non-profit organization, incorporated in 1997, from 2012-17. He has been on the Board of Directors of SOAR Educational Enrichment, Inc. since 2013, and Board Chair since 2015. SOAR is a privately funded 501(c)(3) providing educational enrichment programs to Keith’s local elementary school.

 
Jackie Hallihan is the Co-Executive Director of CSS’s Compliance Services team and has over 25 years’ regulatory and risk management experience. She was the founder of National Regulatory Services (NRS) which started the compliance resource business and served as its President for over 20 years. She also founded the National Society of Compliance Professionals (NSCP), a non-profit organization for compliance officers, staff and lawyers serving the compliance industry. It now boasts over 2000 memberships. Jackie has been a leading speaker to compliance professionals, including in-house training programs and various other industry association conferences, and has received numerous industry awards. Jackie also serves as Director, Clerk of the New England Broker Dealer Investment Adviser Association (NEBDIAA), a non-profit organization, incorporated in 1997. The purpose of NEBDIAA is to provide a forum for the professional exchange of information among investment advisers, broker dealers, and persons who provide services to investment advisers and broker dealers, and to direct communication among its members which will improve their ability to serve the needs of their respective clients. The forum will help NEBDIAA’s members meet the increased regulatory demands placed on investment advisers, broker dealers, and persons who provide services to investment advisers and broker dealers.

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Coffee and Regs

Preparing Now for a PRIIPs KID Project Plan

In this episode, CSS’s resident document production experts, Shane O’Sullivan and Charles Seigle-Goujon sit down to discuss how to prepare now for the UCITS to PRIIPs transition using best practices from the insurance industry and getting data governance procedures in place today.

About Our Guest Speakers:

Shane O’Sullivan recently joined the CSS team and is Director of Sales for the Irish market. Prior to joining CSS, Shane spent six years working for Institutional Investor in Melbourne and London. Shane managed new and existing relationships with global fund managers in Australia, America, UK and the Middle East. In 2018, Shane returned to Ireland to take a role with FundAssist to develop new business with global asset managers to meet their regulatory challenges. Shane holds a BA in Economics and a Masters in Financial Economics from University College Cork.
 
 

 
Charles Seigle-Goujon joined the Fund Reporting branch of CSS at the beginning of 2017 to develop the strategy in France, Switzerland and Luxembourg thanks to 10 years of experience in sales and account management for the Financial industry. Starting his career at Amundi and Henderson in institutional sales for alternative funds in Paris, he then moved to the Fintech industry in mid-2009 in Singapore where he was the head of Client Relationship Management South East Asia at FIS – ex SunGard Global trading.

 

 

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This Week in FCPA

Episode 245 – the Sister Jean edition


As March Madness descends upon us in the bubble this year, Sister Jean leads Loyola of Chicago into the Sweet 16. Tom and Jay are back to look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA.
Stories
1.     Universities behaving badly. Tom looks at the KU hiring and firing of Les Miles in a four-part blog post series on the FCPA Compliance and Ethics Blog.
2.     Bette Davis and Jim Deloach both say fasten your seatbelts. Jim Deloach in CCI.
3.     Do you have a Money Laundering Reporting Officer? Alia Noor in XpertsLeague.
4.     How to avoid an OIG investigation. Sara Kropf in Grand Jury Blog.
5.     Why do SPACs give compliance fits? Aaron Nicodemus in Compliance Week. (sub req’d)
6.     Risk Management and IT Security in WFH. Sam Abadir in Risk and Compliance Matters.
7.     Building bridges between compliance and BD. Mike Volkov in Crime Corruption and Compliance.
8.     Three significant CCO hires. What does it mean? Nicholas Trutanich to Fox Corp (WSJ); David Searle to Tesla (Bloomberg) and Antonio Fernández to FirstEnergy (WSJ).
9.     Why ignoring red flags around Iran is bad. Doug Cornelius in Compliance Building.
10.  Paucity of FCPA enforcement in Q1, good or bad? Harry Cassin explore in the FCPA Blog.
Podcasts and Events
11.  On The Compliance Life, Rob Chesnut joins me for the month of March.  In the first episode, In Episode 1, Rob talks about his academic career at UVA and how its Honor Code influenced his thinking about ethics in his professional career and his his career as an AUSA. In Episode 2, Rob moves cross country to join eBay. In Episode 3, Rob talks about moving into the Chief Ethics Officer role at Airbnb. In Episode 4, Rob looks down the road for compliance.
12.  Microsoft has joined the Compliance Podcast Network, with two podcasts, Voice of Data Protection and Uncovering Hidden Risks. In Episode 5 of Voices of Data Protection, Bhavanesh Rengarajan discusses your information governance and records management journey.  In Episode 5 of Uncovering Hidden Risks, Raman Kalyan Talhah Mir how far insider risk programs have come.
13.  Coffee & Regs joins the Compliance Podcast Network. In this week’s episode, hosts Natalie Silverman visits with Alison Taylor and Victoria Olsen to discuss the compliance playbook for regulagtory change.
14.  AMI’s Mikhail Reider-Gordon and Eric Feldman continue their discussion on trends in independent monitoring in this episode of Integrity Through Compliance.
15.  Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2nd edition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards.
Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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This Week in FCPA

Episode 244 – the March Madness edition


As March Madness descends upon us in the bubble this year, Tom and Jay look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA.
Stories

  1. Retaliation against whistleblowers on the rise. Tom interviews Pat Harned on the FCPA Compliance Report.
  2. Novaris announces a new ABC compliance program. Harry Cassin in the FCPA Blog.
  3. Expect closer cooperation between DOJ and SFO. Neil Hodge in Compliance Week. (sub req’d)
  4. Developments in state of New York antitrust law. WilmerHale lawyers in NYU Compliance and Enforcement Blog.
  5. NatWest facing criminal charges in UK over money-laundering. Mengqi Sun in WSJ Risk and Compliance Journal.
  6. Due Diligence and SCRM. Matt Kelly in Navex Global’s Risk and Compliance Matters Blog.
  7. Braskem investigates bribery of Pemex official in Mexico. Dylan Tokar in WSJ Risk and Compliance Journal.
  8. Here be the Dragon for Internal Audit. Ali Noor in XpertsLeague.
  9. Continuous monitoring through continuous auditing. Jonathan Marks in Board and Fraud.
  10. What do BODs and senior execs see as the top risks for 2021. Jim Deloach in CCI. Charles Mitchell in the Harvard Law School Forum on Corp Governance.

 Podcasts and Events

  1. On The Compliance Life, Rob Chesnut joins me for the month of March. In the first episode, In Episode 1, Rob talks about his academic career at UVA and how its Honor Code influenced his thinking about ethics in his professional career and his his career as an AUSA. In Episode 2, Rob moves cross country to join eBay. In Episode 3, Rob talks about moving into the Chief Ethics Officer role at Airbnb.
  2. Microsoft has joined the Compliance Podcast Network, with two podcasts, Voice of Data Protection and Uncovering Hidden Risks. In Episode 3 of Voices of Data Protection, Bhavanesh Rengarajan discusses the value of information governance. In Episode 3 of Uncovering Hidden Risks, Raman Kalyan Talhah Mir consider using HR data to uncover insider risk.
  3. Check out some hoops and ethics in the 2021 Ethics Madness during the first day of March Information and registration here.
  4. In a special five-part podcast series, I visited with Pat Harned, President of Ethics & Compliance Initiative (ECI), about the organization’s 2021 Global Business Ethics Survey. In Episode 1, we review some of the key trends. In Episode 2, we review the key findings. In this Episode 3, we take up the most troubling finding in the GBES; that being the huge uptick in retaliation. In Episode 4, we consider the impact of Covid-19 on compliance. We conclude with Episode 5 on Conclusions and Recommendations. Full series available on iTunes here.
  5. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.
 

Categories
This Week in FCPA

Episode 243 – the Mask Free Texas edition

 

As Texas prepares for a wide open (and mask-free) Spring Break and St. Patty’s Day, Tom and Jay look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA.
Stories

  1. Increase in SEC penalties coming? Matt Kelly in Radical Compliance.
  2. Why don’t more employees speak up? Vera Cherepanova in the FCPA Blog.
  3. What happens when you have a regulartory sand box? Neil Hodge in Compliance Week. (sub req’d)
  4. First DFS cyber breach resolution. Debevoise lawyers in NYU Compliance and Enforcement Blog.
  5. The continuing wreckage of the Solar Winds hack. Mike Volkov in Crime Corruption and Compliance.
  6. What is the state of your DEI program. Chai Feldblum and Emily Cuneo DeSmedt in Navex Global’s Risk and Compliance Matters Blog.
  7. Are you too old to be in compliance? Dick Cassin the FCPA Blog.
  8. DOJ ramps up FCPA enforcement fire power. Dylan Tokar in the WSJ Risk and Complaince Journal.

Podcasts and Events

  1. On The Compliance Life, Rob Chesnut joins me for the month of March. In the first episode, In Episode 1, Rob talks about his academic career at UVA and how its Honor Code influenced his thinking about ethics in his professional career and his his career as an AUSA. In Episode 2, Rob moves cross country to join eBay.
  2. Microsoft joins the Compliance Podcast Network, with two podcasts, Voice of Data Protection and Uncovering Hidden Risks. In Episode 2 of Voices of Data Protection, Bhavanesh Rengarajan discusses information protection strategies. In Episode 2 of Uncovering Hidden Risks, Raman Kalyan Talhah Mir consider how to determine your next insider risk.
  3. Cordery Compliance joins the Compliance Podcast Network with its Cordery Head to Head podcast. In this episode, Jonathan Armstrong visits with Prof. Eric Sinrod as they look ahead at what 2021 might mean for the world of technology. Check it out here.
  4. Episode 4 of Integrity Through Compliance.This podcast will focus on the role of an independent monitor.  You will hear from two of my AMI colleagues who are experts in corporate compliance and ethics, Senior Vice President, Eric Feldman and Managing Director, Mikhail Reider-Gordon who provide practical advice about the benefits of having an independent monitor.  Check it out here.
  5. Join K2 Integrity’s financial crimes risk and compliance experts on March 18 as they discuss the impact of ongoing developments in the financial integrity community. Topics will include: Regulatory trends and predictions for 2021 and beyond, Changes in the AML/CFT and ABC landscape, and Implications of evolving OFAC sanctions programs. Information and registration here.
  6. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

Categories
Everything Compliance

Episode 76, the Confirmation Hearings edition


Welcome to the only roundtable podcast in compliance. Today, we have a quartet of Mike Volkov, Jonathan Marks, Matt Kelly and Jay Rosen for a deep dive into plethora of topics related to Confirmation Hearings. We end with a veritable mélange of rants and shouts outs.

1. Mike Volkov discusses the intersection of anti-trust and compliance.  He shouts out to Merrick Garland and Gary Gensler for their performances in their Senate confirmation hearing.

2. Matt Kelly considers the confirmation hearing of Gary Gensler and debate at the SEC on climate change disclosures and enforcement. Matt rants about the GOP and their insane discussion of the cancel culture about the Suess Estate withdrawing books.

3. Jonathan Marks reviews the 1st Annual Baker Tilly Fraud Summit. Marks shouts to the Philadelphia 76ers for making professional basketball relevant again in the City of Philadelphia.

4. Jay Rosen talks about Diversity & Inclusion in the workplace and the role of compliance. Rosen shouts out/rants to Jeff Bezos for being the NFL’s mark in its attempt to double its TV licensing fees.

5. Tom Fox has an epic rant about the Neanderthal decision by Texas Governor Gregg Abbott to fully reopen the state and withdraw the mask mandate.  

The members of the Everything Compliance are:
•       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com
•       Mike Volkov – One of the top FCPA commentators and practitioners around and the Chief Executive Officer of The Volkov Law Group, LLC. Volkov can be reached at mvolkov@volkovlawgroup.com
•       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 (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.

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FCPA Compliance Report

Episode 242 – the Lion or Lamb edition


As March roars in as its traditional lion, Tom and Jay look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA.
Stories

  1. Apple announces a compliance website. Harry Cassin in the FCPA Blog. Matt Kelly in Radical Compliance.
  2. What are some principles for victim remediation in ABC enforcement action. Sam Hickey in Global Anticorruption Blog.
  3. ESG is ‘having a moment’. Dave Lefort in Compliance Week. (sub req’d)
  4. Global trends on ABC enforcement. Stephanie Yonekura and Ann Kim on CCI.
  5. Ex-SBM Offshore Executive convicted in UK SFO Bribery Case. Jonathan Armstrong in Cordery Compliance.
  6. FCPA themes from 2020. Jonathan Marks in Board and Fraud.
  7. Board liability increases around compliance programs. Mike Volkov in Crime Corruption and Compliance.
  8. Global trends in corporate governance. In the Harvard Law School Forum on Corporate Goverance.

Podcasts and Events

  1. On The Compliance Life, Rob Chesnut joins me for the month of March. In the first episode, Rob talks about his academic career at UVA and how its Honor Code influenced his thinking about ethics in his professional career and his his career as an AUSA. Check out Episode 1.
  2. Microsoft joins the Compliance Podcast Network, with two podcasts, Voice of Data Protection, hosted by Bhavanesh Rengarajan Protection and Uncovering Hidden Risks, hosted by Raman Kalyan Talhah Mir. Episode 1 of Voices of Data Protection is available here. Episode 1 of Uncovering Hidden Risks is available here.
  3. Convercent rolls out a new podcast this week on the Compliance Podcast Network, The Ethics & Compliance Library, hosted by Lauren Siegel. Check out Episode 1 where Siegel takes a deep dive into Blind Spots by Ann Tenbrunsel and Max Bazerman.
  4. Join K2 Integrity’s financial crimes risk and compliance experts on March 18 as they discuss the impact of ongoing developments in the financial integrity community. Topics will include: Regulatory trends and predictions for 2021 and beyond, Changes in the AML/CFT and ABC landscape, and Implications of evolving OFAC sanctions programs. Registration and Information here.
  5. Join K2 Integrity for a webinar, “Libya: New Government—Opportunities for the Construction Industry” on March 11, where Paul Ryan and Sabrine Hassen will be joined by guest speaker John Davie of Altra Capital to discuss the opportunities and risks in post-conflict Libya for the construction industry. Registration and information here.
  6. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards.

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
This Week in FCPA

Episode 241 – the World’s Most Ethical edition


As Ethisphere announces its World’s Most Ethical Company awards for 2021, Tom and Jay look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA.

  1. Ethisphere announces 2021 World’s Most Ethical Company awards. In CCI. In Radical Compliance.
  2. Data Privacy under Biden. Colin Rahill in Jolt.
  3. What the NDAA did regarding the SEC and disgorgement. David Levintow in the FCPA Blog.
  4. SFO wants companies to invest more in compliance. Dylan Tokar in the WSJ Risk and Compliance Journal.
  5. Board lessons from a crisis. Stephen Davis and Sandra Guerra in the Harvard Law School Forum on Corporate Governance.
  6. A Texas transplant reflects on weather and lessons learned. Dick Cassin in the FCPA Blog.
  7. Of Citibank and Black Swan events. Tom Explores in a 3-part blog post series on the FCPA Compliance and Ethics blog. Tom and Matt take a deep dive in Compliance into the Weeds.
  8. On The Compliance Life, Natalia Shehadeh, CCO at ABB joins me this month. In the first episode, Natalia explained why she choose the compliance profession. Check out the Episode 1 and Episode 2. In Episode 3, Natalia discussed moving into the CCO chair. This is the final Episode 4.
  9. The Compliance Handbook, a podcast on the nuts and bolts of compliance premiered this month. In Episode 1, Tom is joined by Stephen Martin to talk about how to best think through a comprehensive compliance program. In Episode 2, Tom was joined by Mike Volkov to discuss the Board’s role in Compliance. In Episode 3, Ronnie Feldman and Ricardo Pelleton talked about training and communications from their own very unique perspective. It is also available on the traditional audio formats.
  10. A new AMI podcast is out, Integrity Through Compliance. It has AMI’s expert observations and guidance in the fields of ethics, antitrust, healthcare, government contracting, corporate governance, cybersecurity, construction, telecommunications, consumer protection and more. In the Episode 1, AMI founder Vin DiCianni visited with AMI MD Jerry Coyne the future of telehealth & home healthcare during a pandemic and beyond. In Epsiode 2, Brenda Morris and Dionne Lomax visited with Jennifer Newton. In Episode 3, Joseph K. West, Partner & Chief Diversity and Inclusion Officer, Duane Morris joined the podcast to talk about the benefits of D&I.
  11. Interested in podcasting? Want to be a part of a Guiness World Record attempt? PodFest Global Summit is a gathering for those who are passionate about sharing their voice and message with the world through audio and video. Join Tom and others at Podfest Global Summit at any time during March 1-5. Best all of listeners to this podcast can attend at no charge. Register here, using promo code CPN.
  12. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions.

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.