Tag: compliance

In addition to not following President Trump’s advice to have having bleach for breakfast and UV light for lunch, we now add Blue Bell Ice Cream to the “No-Eat” list for their criminal behavior leading to three deaths from listeria.  Sad for this loss but determined to persevere,  self-distancing Tom and Jay are back to consider some of the top compliance articles and stories which caught their collective eye this week.

1. Blue Bell Ice Cream pleads guilty to two misdemeanor counts of distributing adulterated ice cream products. Mike Volkov blogs and podcasts about it in on Corruption Crime and Compliance. Tom intones on the FCPA Compliance and Ethics Blog. Jon Rausch on Dipping Through Geometries. More from Tom on the former CEO and Chairman of the Board criminally indicted for lying about it. Tom further reports with a two-part blog on the Board’s corporate governance failures, Part-1 COIs and Part 2-Caremark failures.
2. Rough sailing ahead for CCOs in cruise line industry. Matt Kelly weighs in on Radical Compliance. Tom and Matt take a deep dive in this week’s Compliance into the Weeds
3. The SEC responds to criticism and ramps up its whistleblower awards. Dave Michaels reports in the WSJ.
4. Moro resigns in Brazil, setting off a political crisis. Jessie Bullock In the Global Anti-corruption Blog.
5. NY DFS files action against opioid mfg for insurance fraud. Lawyers from Paul Weiss in NYU’s Compliance and Enforcement blog.
6. Lost in a sea of regulations? Kristy Grant-Hart explains how to navigate it in a guest post on Ethics and Compliance Matters.
7. Another Caremark case survives in Delaware. Kevin LaCroix in the D&O Diary.
8. Did US gov purchase from sanctioned entity? Geert Vermuelean in Risk and Compliance Platform Europe.
9. Should it be decision-making instead of risk management? Norman Marks in Governance, Risk Management and Audit.
10. Interested in moving to the CCO chair? Check in on this month’s edition of The Compliance Life where Tom visits with Ellen Hunt, CCO at AARP. In this Part 1, Hunt discusses the start of your journey. New episodes appear each Tuesday in May at 1 PM CST. The Compliance Life is now available on iTunes.
11. Tom has a wide ranging discussion with Nick Gallow on Compliance Lines’ new podcast, The Ethics Experts. Available on the Complaince Podcast Network.
12. On Compliance and Coronavirus this week: James Gellert on financial health of 3^rd parties as a key DD inquiry; Ben Wolf on the new normal of doing business after Covid-19; Fry Wernick  on ephemeral messaging and video conferencing under the FCPA. Compliance and Coronavirus in sponsored by SAI Global.
13. On the Compliance Podcast Network, Tom explores May’s topic of written standards; on 31 Days to a More Effective Compliance Program. This week’s offerings: Monday-Clearly articulated written standards; Tuesday-the Code of Conduct; Wednesday-Code of Conduct: Structure and Format; Thursday– Design of your Code of Conduct; Friday– Training on your Code of Conduct. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel.

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.

As certain Americans step back from having bleach for breakfast and UV light for lunch (You don’t want dinner after those Trump-induced snacks), self-distancing Tom and Jay are back to consider some of the top compliance articles and stories which caught their collective eye this week.

1. Five questions for a Board in the time of Coronavirus. Muel Kaptein on LinkedIn.
2. FCPA enforcement to remain robust. Mengqi Sun reports in the WSJ Risk and Compliance Journal.
3. Mike Ward on how tech can assist compliance during Covid-19. Dylan Tokar reports in the WSJ Risk and Compliance Journal.
4. Is it time for a new approach to business integrity? Alison Taylor explores in the Ethical Systems blog.
5. Will Coronavirus take down any big public companies? Francine McKenna explore in The Dig.
6. Contact tracing for employees and its compliance issues. Lawyers from Debevoise & Plimpton in NYU’s Compliance and Enforcement Blog.
7. Stakeholder principles during Covid-19. Members of the World Economic Forum in the Harvard Law School Forum on Corporate Governance.
8. Using red flags to uncover fraud and corruption. Jonathan Marks on his Board & Fraud
9. How does playing golf enhance a compliance program? Keith Hennessee on the FCPA Blog.
10. Elon Musk indemnifies Tesla Board. Can you spell COI? Kevin LaCroix in the D&O Diary.
11. AMI webinar on Crisis and Compliance in the Federal Marketplace. May 5 at noon EST. Registration and information here.
12. On Compliance and Coronavirus this week: Jeffrey Hayzlett on five key actions to take during Coronavirus; Mari Ryan on employee wellness; Brenda Ferraro on JumpStarting your 3^rd party risk management program during Covid-19.
13. In a special series with the Brazilian law firm of Azevedo Sette, we explore the current compliance scene in Brazil. Part 1-Isabel Franco on how CarWash changed a culture; Part 2-Luis Salles on investigations and anti-trust compliance; Part 3-Glaucia Ferreira on due diligence and background investigations; Part 4-Ingrid Santos and Guiliana Bohia on #MeToo in Brazil; Part 5-Lucas Bianchinni on environmental compliance in Brazil.
14. On the Compliance Podcast Network, Tom concludes his month of exploring continuous improvement and introduces May’s topic: written standards; all on 31 Days to a More Effective Compliance Program. This week’s offerings: Monday-tech upgrades fostering continuous improvement; Tuesday-using email sweeps for continuous improvement; Wednesday-using social media for continuous improvement; Thursday-conclusion to continuous improvement to a compliance program;  Friday-Introduction to written standards. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc.

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.
 

As Emperor Trump says that only he can decide when the country will re-open for business and Congress can adjourn and the lads note the passing of Brian Dennehy, self-distancing Tom and Jay are back to consider some of the top compliance articles and stories which caught their eye this week.

1. Former Goldman exec charged with FCPA violations. Harry Cassin breaks the story in the FCPA Blog. Matt Kelly says Goldman Sachs got a great outcome, in Radical Compliance.
2. How beliefs impact mindset. Jaclyn Jaeger reviews both angles in Compliance Week.
3. What will happen to ‘Made in China”? Dick Cassin explores in the FCPA Blog.
4. What steps can be taken to fight corruption in the response to Coronavirus. Sarah Steingrüber in theGlobal Anti-Corruption Blog.
5. What FCPA landmines are lurking beneath COVID-19? Scott Roybal in National Law Review.
6. Does the Coronavirus health crisis hobble monitors? Mengqi Sun in the WSJ Risk and Compliance Journal.
7. BAT under investigation for export control violation. Mengqi Sun in the WSJ Risk and Compliance Journal.
8. What might a national US privacy law look like? Logan Finucan in CCI.
9. What do scam PACs and Coronavirus have in common? Sara Kropf explores on Grand Jury Target.
10. On Compliance and Coronavirus this week: Abikoff and Huneke on why neither enforcement nor compliance ever sleep; Ryan Wilkins on corp governance issues during COVID-19; Tricia Cornell on why new and different time horizons during the coronavirus crisis.
11. The Everything Compliance gang is back with a look at compliance and coronavirus. Check it out on iTunes
12. On the Compliance Podcast Network, Tom concludes a month of looking at the role of innovation in compliance And opens a month of exploring continuous improvement, all on 31 Days to a More Effective Compliance Program. This week saw the following offerings: Monday-the Culture Audit; Tuesday-the Fraud Audit; Wednesday-the Integrity Audit; Thursday-the Mock Audit;  Friday-Monitoring for continuous improvement. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc.

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.

While the coronavirus dominated the news this past week, compliance doesn’t sleep and neither did we. Self-distancing Tom and Jay are back to consider some of the other top compliance articles and stories which caught their eye this week.

1. Compliance Week has a plethora of articles relating to Coronavirus. Aaron Nicodemus considers why ethics pays; Jaclyn Jaeger on designing a crisis management plan and Dave Lefort on why ethical leadership is even more critical now.
2. Chilling from home? Dick Cassin offers some good compliance-related movies for socially distanced compliance professionals in the FCPA Blog.
3. Revisiting inherent conflicts of interest. Jeff Kaplan in the Conflict of Interest Blog.
4. Coronavirus is no excuse for not being vigilant. Kevin Abikoff and Mike Huneke in the FCPA Blog.
5. Charles Middleton says we should stop blackballing whistleblowers. In CCI.
6. What are MLATs and are they abused? Dave Michaels and Aruna Viswanatha in the WSJ Risk and Compliance Journal.
7. Mike Volkov takes a deep dive into an Anti-Trust Compliance Program in a 3-part series on Corruption, Crime & Compliance. Part 1-Risk Assessments, Part 2– Ethical Culture and Monitoring, Part 3- Training and Speak Up and Reporting Systems.
8. What’s the Board’s role in the coronavirus crisis? Jonathan Marks in the BoardandFraud Blog.
9. Is Managerial Entrenchment Always Bad and Corporate Social Responsibility Always Good? In the Harvard Law School Forum on Corporate Governance.
10. Reflections on the Golden Boy from Jay.
11. On the Compliance Podcast Network, Tom opens a new month by looking at the role of innovation in compliance on 31 Days to a More Effective Compliance Program. This week saw the following offerings: Monday-the Digital Twin and P&L of One; Tuesday-Superforecasting; Wednesday-blockchain for compliance; Thursday-Design Thinking for compliance; Friday-AI as a competitive advantage. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc.

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.