Tag: compliance

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This Week in FCPA

Episode 264 – the Infrastructure Bill edition


As the Tokyo Olympics conclude and Biden passes an infrastructure bill, Tom and Jay are back to take a look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA in the Infrastructure Bill edition.
 Stories

  1. Navex Global new benchmark report. Carrie Penman, Andrew Burt and Mary Bennett in Navex Global’s Risk & Compliance Matters blog.
  2. Conducting a double materiality assessment. Donota Calace in PracticalESG, Part 1 and Part 2.
  3. Dangers lurking in internal investigations? Mike Volkov in Corruption, Crime and Compliance.
  4. What can ‘ethics refugees’ teach us about E&C? Richard Shell in CCI.
  5. Running a design sprint. Carsten Tams with Part 4 of his 5-part series on Design Thinking in LinkedIn.
  6. Amazon tagged for €746MM for GDPR violations. Cordery Compliance news alert.
  7. What are the factors driving change in the investigation process? Jaclyn Jaeger in Compliance Week.
  8. The Achilles Heel of Compliance? Scott Moritz in LinkedIn.
  9. Ted Lasso and corruption. Harry Cassin in the FCPA Blog.
  10. 100 bottles of booze on the wall, 100 bottles of booze. Jeff Kaplan in the Conflict of Interest Blog.

 Podcasts and Events

  1. Innovation in Compliance hits its 200th anniversary show. I celebrate with Dan Skolnick from Accuity. Check out the show here.
  2. On The Compliance Life, in August I visit with Kortney Nordrum CCO at Deluxe. In Episode 1, from Red Wing to Israel.
  3. How do the Greek Timoleon and the Roman Aemilius inform compliance leadership today? Find out as Tom and Richard Lummis continue their exploration of Plutarch’s Lives in this episode of 12 O’Clock High, a podcast on business leadership.
  4. Compliance Week is having an open house this month as they have dropped their firewall. You can check out the entire publication for no charge. Check it out here.
  5. K2 Integrity’s Sepideh Rowland will moderate an ABA Webinar: Managing Compliance Under Pressure, August 17. Register and information here.
  6. The Compliance Handbook, 2nd edition is released. Learn about it here. Purchase it here.
  7. Each month Affiliated Monitors, Inc. introduces our readers and listeners to members of our AMI team. This month, in addition to our web Spotlight feature https://lnkd.in/g9aUbMaJ  we recorded a companion podcast with Deann Conroy, who is a Compliance Solutions Manager. She is an experienced attorney, leader, and educator of healthcare legal issues. Please follow the link in the show notes for this month’s double shot of our colleague Deanne! https://lnkd.in/gfTdF5mq

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

Preparing Private Funds for the Marketing Rule

Preparing Private Funds for the Marketing Rule

 
In this episode, our team of private funds experts, John Gentile, Eugenie Warner and Adam DiPaolo, discuss how private funds will be affected by the new Marketing Rule and how they can start preparing for implementation now.
 

 

About Our Guest Speakers:

John Gentile is responsible for overseeing various types of broker-dealer and investment adviser consulting engagements, including conducting SEC/FINRA internal control reviews, anti-money laundering testing, written supervisory policy and procedures testing, and other consultation services. John is a frequent speaker at industry conferences on various compliance topics, including “Effective Supervision,” “Large Firm Testing,” FINRA Supervisory Control Rules” and “Anti Money Laundering Requirements for Broker Dealers under the PATRIOT Act.” In 1987 John joined the SEC as a Securities Compliance Examiner, becoming a Branch Chief in 1991. He became Assistant Regional Director in 1993, supervising a team of 20 broker-dealer managers and examiners. He also planned and conducted financial, operational, and sales practice examinations of the largest broker dealers and was among those responsible for a review of hedge funds’ impact on broker dealer internal controls. Before joining the SEC, John was a Financial Damage Analyst with PaineWebber Inc. Most recently from 2000-2007 John was an Executive Consultant, Broker-Dealer Services, at National Regulatory Services. John has an MBA from Fordham University and a BS in Finance from Central Connecticut State University. From 1995 to 2002, John was also a member of the Securities Industry Continuing Education East Coast Content Committee.

 

Eugenie Warner is a Senior Consultant at CSS, bringing her legal background to the Compliance Services arena. She was previously a business litigator, including as an associate at K&L Gates LLP and Loeb and Loeb LLP. Eugenie focused on consumer protection defense, primarily against federal and state regulatory agencies in administrative, state, and federal tribunals. Additionally, she managed cases and litigated in the fields of intellectual property, employment, civil contempt, unfair business practices, and deceptive advertising. Eugenie earned a B.A. in Diplomacy and World Affairs from Occidental College in Los Angeles; and a J.D. from the University of Connecticut School of Law, where she was on the Connecticut Law Review; clerked for the United States District Court, District of Connecticut; clerked for Connecticut’s Office of the Attorney General, Antitrust Department; worked in the Criminal Clinic, Appellate Division; and studied at the University of Dublin Trinity College School of Law, for which she received UCONN’s Elihu Burritt academic success award. Currently, Eugenie’s compliance work includes, for example: annual reviews, risk assessments, mock SEC exams, and other tailored analyses; detailed registration and reporting guidance; assistance to CCOs and other C-suite executives, to enhance their respective compliance programs and risk management; and other tailored services.
 
Adam DiPaolo CISA, CRISC is a Section 13 Reporting Manager, Senior Consultant and Associate General Counsel at CSS. Adam designs practical solutions to manage regulatory challenges faced by hedge funds, private equity funds, funds of funds, and other investment advisers. In addition to providing compliance services such as annual compliance program reviews, risk assessments and acquisition due diligence, Adam established Section 13 reporting capabilities and EDGAR filing agent services for CSS’s Compliance Services division. He drafts and maintains corporate filings ranging from Forms ADV and PF to Forms 13F and 13H. Adam also provides cybersecurity risk management services to CSS clients – ranging from network vulnerability scanning to onsite cybersecurity risk assessments to assistance in implementing the NIST cybersecurity framework. He is a Certified Information Systems Auditor (CISA®), and Certified in Risk and Information Systems Control (CRISC™). Adam practiced corporate law prior to joining CSS and has an extensive background in both the public and private sectors. Adam served as Assistant General Counsel at Capgemini – one of the world’s largest providers of Consulting, Technology and Outsourcing services. As in-house counsel to a global consulting business, he implemented pragmatic strategies to resolve complex legal and regulatory issues. Adam earned his B.A. from Pitzer College, his J.D. degree from UC Berkeley – Boalt Hall School of Law, and his LL.M. in Taxation from New York University School of Law. He is a member of the New York State Bar.

 

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This Week in FCPA

Episode 263 – the Domestic Corruption edition


As the Tokyo Olympics continue and FirstEnergy settles one of the largest domestic corruption cases ever, Tom and Jay are back to take a look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA in the Domestic Corruption edition. 
Stories

  1. The First Energy domestic corruption scandal. Rick Messick in GAB. Matt Kelly in Radical Compliance.
  2. Obstacles to compliance training. Dick Cassin in the FCPA Blog.
  3. Should companies go into space? Mike Volkov says no in Corruption, Crime and Compliance.
  4. Is your compliance relationship with HR unleavened? Then leaven it, says Amy Dufrane in CCI.
  5. Can the Olympics be saved? Perhaps from the corruption angle. Andy Spalding in the FCPA Blog.
  6. What’s it like to be a whistleblower? Aaron Nicodemus with a 5-part series in Compliance Week (sub req’d). Aaron discusses the series on this edition of From the Editor’s Desk. (No Sub Req’d)
  7. What happens when a CCO acts like a GC? They ‘step in it’ says Matt Kelly in Radical Compliance.
  8. Are you afraid of your own shadow? Michael Rasmussen says you might well should be in Navex Global’s Risk and Compliance Matters.
  9. If you step in it, RAC it. Ngozi Okeh in PracticalESG.
  10. Boards and Corporate Strategies in the post-pandemic world. Wachtell, Lipton lawyers in the Harvard Law School Forum on Corporate Governance.

Podcasts and Events

  1. Jonathan Keller reviews the evolution of healthcare compliance in this episode of The Compliance Handbook.
  2. Scott Moritz turns the tables on Tom by interviewing him about his recently released book The Compliance Handbook, 2nd edition on this week’s edition of Fraud Eats Strategy.
  3. On The Compliance Life, in July I visited with Asha Palmer, CECO at Convercent. In Episode 1, from Claire Huxable to the DOJ. In Episode 2, ‘What do you think about Abu Dhabi?’ In Episode 3, she moves into compliance consulting and is surprised with what she observed. In Episode 4, Asha talks about moving into the CECO role and beyond.
  4. How do the Greek Cleomenes and the Roman Giaus Graccus inform compliance leadership today? Find out as Tom and Richard Lummis continue their exploration of Plutarch’s Lives in this episode of 12 O’Clock High, a podcast on business leadership.
  5. In Integrity Through Compliance, Episode 14, Joe Miller Returns to Discuss Anticipated Antitrust Enforcement Trends in the Biden Administration.
  6. The Compliance Handbook, 2nd edition is released. Learn about it here. Purchase it here.

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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Everything Compliance

The Vaccinated Edition


Welcome to the only roundtable podcast in compliance. Today, we have a quartet of Matt Kelly, Jay Rosen, Tom Fox and special guest panelist Karen Woody for a deep dive into a potpourri of issues and topics. We end with a veritable mélange of rants and shouts outs.

  1. Jay Rosen looks at how independent integrity monitors can assist to continue to health care providers deliver health care services through furthering compliance objectives. Rosen shouts out to the Golden Boy Tom Brady in asked ‘will 8 be enough’ to get the chip off Brady’s shoulders.
  2. Tom Fox sits in this week to discuss continuing HP/Autonomy fight around HP’s disastrous acquisition of Autonomy back in 2011. The latest episode occurred with a UK court approved the extradition of former Autonomy founder Mike Lynch to the US to stand trial for criminal charges. Fox shouts out to Neil Gerrard for inventing the phrase ‘global amnesia’ for explaining why he lied in sworn testimony during the ENRC trial.
  1. Karen Woody sits in as a special guest panelist. Woody discusses the recent SEC enforcement action involving a SPAC and the Ackerman withdrawal of his SPAC purchase of Universal Music. Woody shouts out to second season of Ted Lasso.
  1. Matt Kelly considers the compliance lessons from the Tandy Leather SEC enforcement action. Kelly shouts out to restaurants requiring proof of vaccination of potential customers.
  2. Jonathan Armstrong discusses what is a Chumba Wumba attack. Armstrong shouts out to author Eric Carle.

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 armstrong@corderycompliance.com
  • Jonathan Marks is Partner, Firm Practice Leader – Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at 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.
Resources
See Matt Kelly’s blog post on Radical Compliance on the Tandy Leather SEC enforcement action.

Categories
This Week in FCPA

Episode 262 – the No Fans Olympics edition


As the Tokyo Olympics stumble out of the gate and Tom returns to the wilds of the Texas Hill Country, he and Jay are back to take a look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA in the No Fan Olympics edition.
 Stories

  1. Why co-creation is key to design thinking in compliance. Carsten Tams continues his 5-part series on LinkedIn. Check out Tams Part 1 and Part 2 of his great 5-part series.
  2. What’s going on with ESG in Europe. Vera Cherepanova in the FCPA Blog.
  3. What is social risk? Lawrence Heim in com.
  4. What’s the current job market for compliance professionals? Matt Kelly in Radical Compliance.
  5. SFO secures two DPAs. Neil Hodge in Compliance Week (sub req’d)
  6. Responding to parallel investigations. Nicole Sprinzen and Catherine Yun in CCI.
  7. Auditing of SPACs. Francine McKenna takes a deep dive on The Dig. (Sub Req’d)
  8. EU Whistleblower Initiative? Keith Taylor in Navex Global’s Risk and Compliance Matters.
  9. FTC signals more aggressive enforcement. Alexander Paul Okuliar and David J. Shaw NYU’s Compliance and Enforcement
  10. The Enactment of Purpose Initiative. Wachtell, Lipton lawyers in the Harvard Law School Forum on Corporate Governance.

Podcasts and Events

  1. In a sponsored 6-part podcast series Tom visits with folks from Exiger on its ground-breaking TP&SCRM framework, the TRADES Framework. Part 1-Transparency; Part 2-Risk Mitigation; Part 3-Assessing Risk; Part 4-Determining Mitigations; Part 5-Evaluating Uplift; Part 6, Supplier Monitoring.
  2. Tom and Megan Dougherty conclude their series on Loki, in Episode 6, For All Time. Always. They review the concluding episode of Season 1, look back over the entire series, review it in the context of the MCU series WandaVision and the Winter Soldier and Falcon and where the MCMultiverse may be headed.
  3. A new month on The Compliance Life! In July I visit with Asha Palmer, CECO at Convercent. In Episode 1, from Claire Huxable to the DOJ. In Episode 2, ‘What do you think about Abu Dhabi?’ In Episode 3, she moves into compliance consulting and is surprised with what she observed.
  4. Are you a #GWICee? If you are not you should be. Join the co-hosts Lisa Fine and Mary Shirley for their fan fav lightening-round of listener submitted questions in this episode of Great Women in Compliance.
  5. What is the budget process for a corp compliance function? Kortney Nordrum lays it out for your in this episode of Survive and Thrive. Check out the video version on YouTube.
  6. The Compliance Handbook, 2nd edition is released. Learn about it here. Purchase it here.

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
Coffee and Regs

EMIR REFIT & Regulatory Harmonization

EMIR REFIT & Regulatory Harmonization

 
In this episode, our team of global transaction reporting experts, Alexis Wiazmitinoff and Nicklas Nilsson discuss changes coming to EMIR REFIT in 2022 and beyond. With the markets moving towards a harmonization of data elements across regulations, how will that provide regulators with a more complete and holistic view of OTC derivatives and improve operational efficiency for financial firms?
 

 

About Our Guest Speakers:

Alexis Wiazmitinoff is a Product Leader at CSS, responsible for leading the Global Transaction Reporting (GTR) solution. He is responsible for setting the GTR product roadmap and strategy. He guides the GTR product team during Sales/Pre-Sales engagements, product design/ delivery, thought leadership and takes part in client events. Alexis has 10 years of FinTech experience and a strong background working with traders, portfolio managers and front-to-back office personnel as part of core banking transformation projects on the continent and in the UK. Prior to joining CSS, Alexis product managed London Stock Exchange Group’s EMIR Trade Repository.

 
 
 


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.

 
 

Categories
This Week in FCPA

Episode 261, the Live from Portland edition


As Tom records from an undisclosed location, he and Jay are back to take a look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA in the Live from Portland edition.
Stories

  1. Tom takes up the call for Design Thinking to be used in compliance. Part 1-the steps in design thinking. Part 2-using design thinking to operationalize compliance. Part 3-into your compliance program.
  2. I screen, You screen, We all screen (but not for ice cream). Szilvia Andriasik in the FCPA Blog.
  3. The pandemic redefined the role of the GC. Did it do the same for the CCO. Abbott Martin and Rosie Griffin in
  4. How to train managers in COI. Jeff Kaplan in COI Blog.
  5. The Bribery Act at 10. Neil Hodge in Compliance Week (sub req’d)
  6. Expanding your DD horizons for ESG. Alek Chance In Navex Global’s Risk and Compliance Matters.
  7. Upgrading your compliance program in 5 steps. Joe Murphy in Compliance Week (Sub Req’d)
  8. Is your training sticky? Gio Gallo in CCI.
  9. Using data analytics to uncover anomalies. Jessica Ellsworth in CCI.
  10. Internally communicating about cyber security issues. Davis Polk lawyers in the Harvard Law School Forum on Corporate Governance.

Podcasts and Events

  1. Career Can Do, the latest edition to the Compliance Podcast Network, premiers this week. Recruiting guru Mary Ann Faremouth discusses all facets of the hiring process. In Episode 1, she interviews Jessica Levine.
  2. In Integrity Through Compliance, AMI’s Dionne Lomaxspeaks with Joe Miller, the co-chair of Mintz Levin’s antitrust practice. They focus on recent developments in antitrust compliance — specifically, compliance with government consent decrees and what might be occurring behind the scenes at federal enforcement agencies once a company has settled antitrust charges.
  3. This week on Greetings and Felicitations, Tom is joined by Ben Locwin to look at some of the science behind Star Trek, the Original Series. Mirror Mirror and Transporters, Where No Man Has Gone Before and Phasers; The Naked Time and Warp Drive; Tomorrow is Yesterday and Black Holes, White Holes, and Wormholes; and Journey to Babel and the Medicine of TOS.
  4. A new month on The Compliance Life! In July I visit with Asha Palmer, CECO at Convercent. In Episode 1, from Claire Huxable to the DOJ. In Episode 2, ‘What do you think about Abu Dhabi?’
  5. The tables are turned on Tom by the Brothers Gallo and Jason Mefford as they interview him for their respective pods. Nick and Gio on The Ethics Experts. Jason on Jamming with Jason.
  6. The Compliance Handbook, 2nd edition is released. Learn about it here. Purchase it here.

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 82, the Welcome to July edition


Welcome to the only roundtable podcast in compliance. Today, we have a quartet of Matt Kelly, Jay Rosen, Tom Fox and special guest panelist Lisa Fine for a deep dive into a potpourri of issues and topics for the month of July. We end with a veritable mélange of rants and shouts outs.

  1. Jay Rosen looks at the latest MLB scandal and compares it to the GOP Congress rejecting an investigation into the January 6 insurrection at the US Capitol. Rosen shouts out to first responders.
  2. Tom Fox sits in this week to discuss the US Department of Treasury’s priorities around AML, fraud, corruption and cybercrime. Fox shouts out to the recently indicted Trump Organization for its Document Document Document policy which led to said indictment.
  3. Lisa Fine sits in as a special guest panelist. Fine considers RTW from the compliance perspective. Fine takes this opportunity to both shout out and rant. She rants about the rampant overuse of the term ‘thought leader’. Fine shouts out to employees and others who speak up, raise valid issues and World Whistleblower Day.
  4. Matt Kelly considers the Amec Foster Wheeler FCPA enforcement action. Kelly shouts out to proposed legislation in Congress to protect Inspector Generals. 

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 armstrong@corderycompliance.com
  • Jonathan Marks is Partner, Firm Practice Leader – Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at 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
Coffee and Regs

Why Outsourced Compliance is No Longer a Dirty Word

Why Outsourced Compliance is No Longer a Dirty Word

 
In this episode, former CCOs Korrine Kohm and Ariana Monchick discuss compliance management and how to expand and optimize your program leveraging tools, technology and outsourced compliance services.
 

 

About Our Guest Speakers:

Korrine Kohm is CSS’s Director of Retail Wealth Manager Services. Prior to CSS, Korrine was the Chief Compliance Officer and Head of Operations at Estabrook Capital Management where she was responsible for all compliance functions of this SEC-registered, $2.1B investment advisory firm. Korrine began her regulatory career while working at Allied Irish Bank (NY) in the Operations Department where she was a key member of AIB’s Compliance Committee, responsible for ensuring compliance with Federal and State regulations. An active member of the National Society of Compliance Professionals for over 10 years, Korrine earned her Investment Adviser Certified Compliance Professional (IACCPTM ) designation in 2006, is a member of the Association of Certified Fraud Examiners, and obtained her Certified Fraud Examiner designation. In addition to her experience in compliance and banking, Korrine began the 16-week intensive training course in Quantico, Virginia, to become a Special Agent with the Federal Bureau of Investigation. She has particular experience in crafting customized policies and procedures, developing and implementing compliance programs, conducting on-site compliance reviews, acquisition due diligence reviews, risk assessments and mock SEC examinations. She routinely counsels clients on various regulatory matters, including SEC registration issues, social media and advertising, policies related to diminished financial capacity, disclosures and the annual review process.


Ariana Monchick is a Senior Consultant for CSS’s Compliance Services team, and offers broad expertise on securities and investment advisory regulations. Ariana’s experience working in senior compliance positions at various financial services firms allows her to offer effective and comprehensive compliance solutions while maintaining a big-picture orientation. She has established a strong background in developing robust compliance programs for organizations and partnering with business leaders to mitigate risk. Most recently, Ariana was an Advisory Chief Compliance Officer for Cetera Financial Group, one of the largest family of independent broker-dealers in the United States. She was also the Chief Compliance Officer for Legend Advisory Corporation, a registered investment adviser that services the 403(b) retirement plan market.

 
 

Categories
This Week in FCPA

Episode 259 – the Trump Organization Indicted edition


As the Trump Organization and its CFO are criminally indicted, Tom and Jay prepare for the 4th of July and are back to take a look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA in the Trump Organization Indicted edition.
Stories

  1. Trump Organization and CFO indicted on criminal charges. NYT, WSJ, FT, WaPo
  2. How whistleblowers protect the bottom line. Bob Conlin in Navex Global’s Risk and Compliance Matters.
  3. Amec Foster Wheeler, the first FCPA corp enforcement action in 2021. Tom takes a deep dive in a 3-part series on the FCPA Compliance and Ethics Blog. Tom and Matt Kelly take a deep dive in Compliance into the Weeds. Mike Volkov goes deep on Corruption Crime and Compliance. Harry Cassin (as usual) breaks the story on the FCPA Blog.
  4. US government AML priorities. FinCen issues report, here. Kyle Brassuer in Compliance Week (sub req’d) Dylan Tokar in WSJ Risk and Compliance Journal.
  5. Do lawyers make good gatekeepers? Sung Hui Kim says ‘perhaps’. Keith Bishop says you shouldn’t even ask the question.
  6. Human-Centered Design: An Engaging Ethics & Compliance Program Serves Users’ Needs. Carsten Tams in Part 2 of his five-part series on LinkedIn.
  7. Reducing your CCPA risk. Debevoise lawyers on NYU’s Compliance and Enforcement blog.
  8. Was Amec Foster Wheeler afraid of its agents? Dick Cassin explores in the FCPA Blog.
  9. Auditing your climate risk. Mark Texler in a two-part series on PracticalESG.
  10. How do you evaluate the value of ethics? Henry Kronk in CCI.

 Podcasts and Events

  1. How does history inform compliance? What are the leadership lessons from ancient Greeks and Romans? Find out in this special 10 part podcast series on famous Greeks and Romans from Plutarch’s Lives this week on 12 O’Clock High, a podcast on business leadership, hosted by Richard Lummis and Tom Fox. In Episode 1, they mined Plutarch about the lives of and leadership lessons from Themistocles and Camillus. In Episode 2, they looked at Solon and Popsicola. In Episode 3, Pericles and Fabius Maximus. In Episode 4, Alcibiades and Coriolanus.
  2. Are you a MCU fan? If so check out the special series on the Disney streaming service Loki and Tom Fox and Megan Dougherty who return to review the entire series. They catch up on Episode 1-3 in this edition of Popcorn and Compliance.
  3. Trekking Through Compliance Returns! Tom reviews all 79 episodes of Star Trek, the Original Series beginning June 1. Each day at 3 PM on the Compliance Podcast Network. This week’s offerings included Operation Annihilate, Amok Time, Who Mourns for Adonias, The Changeling and Mirror Mirror.
  4. On this episode of Integrity Through Compliance, join Affiliated Monitor’s Rod Grandon, Jenner & Block Partner, David Robbins, and former Engility Holdings, Inc. General Counsel, Tom Miller, for an in-depth discussion focusing on crisis management from the perspectives of a General Counsel, outside legal counsel, and federal acquisition official.
  1. On July 13, join K2 Integrity for its Virtual Compliance Conference on Environment, Social, and Governance Compliance Risks for Financial Institutions. Information and Registration here.
  2. It is now HERE, the book you have all been waiting for, The Compliance Handbook, 2nd edition is available for purchase. The Compliance Handbook 2ndedition is available in both print and eBook editions. Available here.

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.