Tag: compliance

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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.

Categories
Coffee and Regs

Betting on Bitcoin: Cryptocurrency & Digital Assets 101 for Investment Managers

Betting on Bitcoin: Cryptocurrency & Digital Assets 101 for Investment Managers

 
In this episode, CSS’s Director of Broker-Dealer Services and Private Funds John Gentile sits down with Chief Executive Officer & Chief Investment Officer of Off the Chain Capital, Brian Estes to discuss the world of cryptocurrency and Bitcoin. Is this investing or gambling, is it an asset class, and why should investment advisers and broker-dealers be thinking about adding digital assets to their clients’ portfolios?
 

 

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.

Brian Estes is the CEO and CIO of Off the Chain Capital which manages the #1 performing blockchain investment fund over the past 4 years. Brian has been a VC in blockchain for over 7 years and has advised, mentored and/or financed 5 blockchain companies that have a combined value of over $100B today. Prior to his immersion in blockchain, the Brian was one of the top-ranked investment managers in the nation. Morningstar ranked his client’s performance between 2004-2014 in the top 1/10th of 1% of the Morningstar equity manager universe. Brian earned his BA in Economics from the University of Illinois, his MBA with high honors from Washington University, and has studied at Cambridge University and the London School of Economics. For fun, Brian earned his pilot’s license in 1989 and has logged over 2200 hours of flight time in his Cessna 177RG.

 
 

Categories
This Week in FCPA

Episode 258 – the Design Thinking in Compliance edition

 
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 Design Thinking in Compliance edition. 
Stories

  1. Design Thinking returns to compliance as Carsten Tams begins a 5-part series on LinkedIn. Check out Part 1.
  2. Ex-Goldman Sachs banker settles FCPA matter. Dylan Tokar in WSJ Risk and Compliance Journal.
  3. Want a refresher in red flags, check out this FBI-produced multipart series, all available on YouTube. Red Flag Fraud Signs, Part 1, Red Flag Fraud Signs, Part 2, Red Flag Fraud Signs, Part 3, Red Flag Fraud Signs, Part 4, Red Flag Fraud Signs, Part 5, Red Flag Fraud Signs, Part 6
  4. Tricky Dicky lives in FCPA enforcement. Dick Cassin explains why in the FCPA Blog.
  5. Using captives to provide FCPA D&O Coverage? Daniel Chefitz and Sergio Oehninger in the FCPA Blog.  
  6. Do we need to ban high-value currency? Sam Magaram in GAB.
  7. Compliance opportunities in and after Covid. Stephen Naughton in Compliance Law Journal.
  8. Building an effective AML action plan. Peter Fitzgerald, Scott Zucker and Tristan Souness-Wilson in CCI.
  9. SEC settles pre-taliation case with Guggenheim Partners. Matt Kelly in Radical Compliance.
  10. Will laws requiring Board diversity survive court scrutiny? Kevin LaCroix in the D&O Diary. 

Podcasts and Events

  1. Microsoft Week on Innovation in Compliance. Alan Gibson on Legal Compliance for the Future, Abbas Kudration Innovation Through Info Security, Joseph Davis on A Progressive and Humble Leadership to Cybersecurity, Erica Toelle on Records Management and Information Governance, Jesus Fernandez on the Digital Transformation of Compliance.
  2. 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.
  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 Space Seed, Return of the Archons, This Side of Paradise, Devil in the Dark and Errand of Mercy.
  4. On July 1, join K2 Integrity’s Snezana Gebauer and Darren Matthews will present a webinar on asset tracing at the IBA Global Influencer Forum. Learn more and register here.
  5. 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.
  6. Compliance Week is looking at 3rd risk management in 2021 in a two-day virtual event on June 29 & 30. For information and registration click here. Use the code Dave100 for a free ticket.
  7. 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.

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
Compliance Man Chooses the Target

True or False – Is Legal Training Needed to be a Compliance Officer


Welcome to a new season of Compliance Man. This season is called True or False? In this series, I am joined by Tim Khasanov-Batirov, a compliance practitioner who focuses on compliance at international markets for over 20 years. Based on his work experience at six countries as in house compliance officer Tim now consults senior managers and compliance officers globally on complex ethics and compliance matters as partner and Head of Compliance practice for ETERNA LAW.    Tim is a co-founder of Compliance Club, an  international community of practitioners. You can learn more about Tim, his Compliance Man illustrated series, a YouTube channel and request advice from him by clicking at Timur Khasanov-Batirov  at Linked in.
In each podcast, we will take on a different issue with Tim; a hot, very often a very provocative topic from the corporate’s real life agenda and find out if  is it true or false. It will be a tough and very straightforward talks. We invite you to participate in these discussions by commenting each podcast and proposing topics for True or False series. The most active listeners will be invited to join us. Let’s have a sincere conversation!
Today we will try to find out if only a legally trained professional can be a corporate compliance officer. Highlights include:

  • What skills does a compliance officer need?
  • Does a legal background provide these skills?
  • How does a compliance professional support business in emerging markets?

Join us for the next episode of Compliance Man: True or False? episode.  If you disagree or wish to share your views on whistleblower topic please comment below. We will be glad to hear from you. Let’s have a sincere global conversation together.
Resources
Tim on LinkedIn
Tim on Eternal Law
Eterna Law