Tag: DE&I

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This Week in FCPA

Episode 292 – the Russia Invades edition


As Russia invades Ukraine, Tom and Jay settle in and are back looking at some of the week’s top compliance and ethics stories this week in the Russia Invades edition.
Stories

  1. What Russia invasion could mean for corporate governance. Michael Peregrine in Forbes.com. What do sanctions mean for US companies? Jaclyn Jaeger in Compliance Week (sub req’d)
  2. Why is subculture audits so critical? Vera Cherepanova explains in the FCPA Blog.
  3. KT Corp. settles FCPA enforcement action. Tom (FCPA Compliance and Ethics Blog) and Mike Volkov (Corruption Crime and Compliance) both have 3-part series. Matt Kelly’s take in Radical Compliance. Tom and Matt in Compliance into the Weeds.
  4. National Cryptocurrency Enforcement Team and what it means. Kathleen McDermott and Mark Krotoski in CCI. David Smagalla in WSJ Risk and Compliance Journal.
  5. How Credit Suisse facilitated crime, corruption, and dictators. Jessie Drucker and Ben Hubbard in the New York Times.
  6. Why diversity on investigation teams matters. Karin Portlock and Jabari Julien in Compliance and Enforcement.
  7. Could small-cap directors & officers could face ESG liability. Lawrence Heim in practicalESG.
  8. Global trends in corporate governance for 2022. Richard Fields, Rusty O’Kelley III, and Laura Sanderson, in Harvard Law School Forum on Corporate Governance.  
  9. Roger Ng trial in danger of collapse due to prosecution ‘inexcusable error .’Stewart Bishop in Law360. (sub req’d)
  10. Using the FCPA to fight the demand side of bribery. Matthew Stephenson in GAB. 

Podcasts and More

  1. In February on The Compliance Life, I visited with Ellen Smith, a former Director of Trade Compliance who recently started her consulting firm. In Part 1, she discussed her academic background and early professional career. In Part 2, Ellen discussed her move in-house. In Part 3, Ellen discusses being a part of the Compliance Dream Team at Weatherford. In Part 4, Ellen moves into the world of consulting.
  2. On the FCPA Compliance Report, Tom began a 2-part series with Trade Compliance guru Matt Silverman on possible Russia sanction (Part 1) and the corporate response (Part 2). Part 2 posts Monday, February 28.
  3. CCI releases a new e-book from Mike Volkov, “Compliance Culture Revolution .”Available free from CCI.
  4. Gwen Hassan has a special 2-part pod series on Hidden Traffic with Jeff Bond, from the Global Fund to End Modern Slavery, on the impact of climate change on modern slavery. Part 1 and Part 2.
  5. Are you a Star Wars fan? How about an uber-Geek? You will love the 5-part series on Science of Star Wars in the Greeting and Felicitations podcast series on the Compliance Podcast Network if you are either or both. In this series, Tom visits astrophysicist Dr. Ben Locwin on the following topics: Episode 1-Traveling in Hyperspace, Episode 2-Fighting with a Light Saber, Episode 3-Mechanical Prosthetics, Episode 4-Cyborgs, and Robots and Episode 5- Death Star. It is a ton of fun, and you will love it.

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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Great Women in Compliance

Jennifer Newton, CEO and Founder of NABCRMP

Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.

As this is Black History Month, we are thrilled to have Jennifer Newton join Lisa on this episode. Jennifer is the founder and CEO of the National Association of Black Compliance and Risk Management and Compliance Professionals (“NABCRMP”), NABCRMP, which is dedicated to networking, promotion and the advancement of Black Risk Management Professionals NABCRMP, which is dedicated to networking, promotion and the advancement of Black Risk Management Professional. In the past 18 months in particular, it has grown in numbers of employees, influence and incredible work to move our profession forward.

Jennifer shares some of the work that NABCRMP has done, including their first annual meeting, the building of networks, and the significant corporate sponsors supporting their initiatives.

Jennifer and Lisa also discuss the importance of having a diverse team – how can a team without different viewpoints and perspectives accurately view and consider risks? She also discusses her view about how risk and compliance professionals are well placed to collaborate on DEI initiatives.

We also get to hear about the opportunities that NABCRMP has for us to help mentor and support a new generation of Black risk and compliance professionals and make compliance an inclusive space.

The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance related offerings to listen in to.  If you are enjoying this episode, please rate it on your preferred podcast player to help other likeminded Ethics and Compliance professionals find it.  You can also find the GWIC podcast on Corporate Compliance Insights where Lisa and Mary have a landing page with additional information about them and the story of the podcast.  Corporate Compliance Insights is a much-appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book; “Sending the Elevator Back Down, What We’ve Learned from Great Women in Compliance” (CCI Press, 2020).

You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast.

Join the Great Women in Compliance community on LinkedIn here.

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From the Editor's Desk

November in Compliance Week

Welcome to From the Editor’s Desk, a podcast where co-hosts Tom Fox and Dave Lefort, Editor in Chief at Compliance Week unpack some of the top stories which have appeared in Compliance Week over the past month, look at top compliance stories, talk some sports and generally try to solve the world’s problems.

 In this month’s episode, we look back at top stories in CW from November including the final results from the CW survey ‘Inside the Mind of the CCO’. It includes a discussion of the gender gap in pay for compliance professionals, the role of compliance in ESG and the role of compliance in fighting cyber breaches. We discuss the Compliance Week 2022 Conference scheduled for May in DC and upcoming CW event on best practices to prevent a ransomware attack. We conclude with a look at some of the top sports stories including the MLB lock out by management, Michigan beating Ohio State and the storyline of a potential Brady v. Belichick Super Bowl.

Check out the CW articles on Inside the Mind of the CCO, here, here and here.

Early register for CW 2022 Conference here.

Categories
This Week in FCPA

Episode 278 – the Happiest Profession edition


Is compliance the happiest profession? Are you passionate about compliance? If you are either or both, you are not alone. Guest Host Karen Woody and Tom Fox look at these and other stories this week in the Happiest Profession edition.
Stories

  1. Is Compliance the happiest profession? Amii Bernard-Bahn explores in Compliance Week (Sub Req’d)
  2. Report on SEC Enforcement Activity: Public Companies and Subsidiaries for 2021. Tom Gorman in SEC Actions.
  3. Supply chain and compliance. Mike Volkov in Corruption Crime and Compliance. Dick Cassin in the FCPA Blog.
  4. What does ESG mean for the SEC? Commissioner Crenshaw remarks to the Pepsico-PWE Conference in the Harvard Law School Forum on Corporate Governance.
  5. Corruption as psychic revenge. Richard Bistrong in the FCPA Blog.
  6. Mitigating cyber risks. Debevoise Plimpton lawyers in Compliance and Enforcement.
  7. COP26 wrap up. What are the lessons for compliance? Lawrence Heim in PracticalESG.
  8. SEC broke all whistleblower awards in FY 2021. Aaron Nicodemus in Compliance Week (Sub Req’d) Carrie Penman says it’s a wakeup call for companies in Ethics and Compliance Matters.
  9. Diversity at the top. Jim Deloach in CCI.
  10. How did Classical Athenians define corruption? Kellam Conover in GAB.

Podcasts and Events

  1. Have you or a loved one been impacted by Lyme Disease? This week I have run a 5-part series on this most misunderstood malady with Dr. Ben Locwin and Scott Endicott. In Part 1 we looked at Origins. In Part 2 we considered the Diagnosis Dilemma. In Part 3 we reviewed Treatment and Innovation. In Part 4, we discussed Prevention and Immunity. In Part 5, we looked ahead for where this disease detection, prevention and treatment might be heading.
  2. Are you exasperated? Then check, F*ing Argentina. In this podcast series co-hosts Tom Fox and Gregg Greenberg, author of F*ing Argentina explore the current American psyche of being overworked, over leveraged, overtired and overwhelmed. Find out about modern America’s exasperation with well…exasperation. In Episode 10, a trip on the New Jersey Turnpike.
  3. This month on The Compliance Life, I visit with Wendy Badger, CCO at Tennant. In Part 1, she details her academic career and early professional life. In Part 2, changing ladders to advance your career. In Part 3, Wendy moves into the CCO Chair.
  4. How does a Compliance Bible become a best-seller? Check out Tom’s appearance on the C-Suite Network’s Best Seller TV to find out. Purchase The Compliance Handbook, 2nd edition here.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Karen Woody is Associate Professor at Washington and Lee University School of Law and can be reached at kwoody@wlu.edu.

Categories
Across the Board

Board Oversight of Racial DE&I


In this episode of Across the Board, I visit with Ben Colton- Global Co-Head of Asset Stewardship at State Street Global Advisors and Rusty O’Kelley Managing Director at Russell Reynolds and Associates. They join me to discuss their recent article Board Oversight of Racial DE&I. Some of the highlights include:

  1. Who the article is it aimed at.
  2. What should motivate board oversight of racial equity?
  3. What does Board oversight look like in practice?
  4. What metrics can Board’s employ?
  5. What are the challenges in a global context?
  6. What guidance do you jointly suggest for a Board to employ?
  7. Why is this issue so critical now for stakeholders and asset stewards?
  8. How does this issue relate to the overall sustainability of a corporation?
  9. Why are these issues critical to the success of an overall ESG program?

Resources
For a copy of the article Board Oversight of Racial DE&I click here.