Tag: Deutsche Bank

Daily Compliance News: February 21, 2024 – The Return to The Office (or else) Edition

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Post date February 21, 2024
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Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee and listen to the Daily Compliance News. All from the Compliance Podcast Network. Each day, we consider four stories from the business world: compliance, ethics, risk management, leadership, or general interest for the compliance professional.

In today’s edition of Daily Compliance News:

Screw you: Companies demanding RTW. (BBC)
Renewable energy and ABC. (The Conversation)
The Shadow Insider Trading case goes to trial. (WSJ)
Deutsche Bank is still short on AML controls. (FT)

For more information on Ethico and a free White Paper on top compliance issues in 2024, click here.

Tags corruption, Deutsche Bank, RTW, Shadow Insider Trading

10 For 10

10 For 10: Top Compliance Stories For the Week Ending July 22, 2023

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Post date July 22, 2023
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Welcome to 10 For 10, the podcast which brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance brings to you, the compliance professional, the compliance stories you need to be aware of to end your busy week. Sit back, and in 10 minutes hear about the stories every compliance professional should be aware of from the prior week. Every Saturday, 10 For 10 highlights the most important news, insights, and analysis for the compliance professional, all curated by the Voice of Compliance, Tom Fox. Get your weekly filling of compliance stories with 10 for 10, a podcast produced by the Compliance Podcast Network.

Head of DOJ Criminal Division, Kenneth Polite to step down. (WSJ)
Tesla Directors settle comp suit. (Reuters)
KPMG caught cheating for exams again, this time in The Netherlands. (Dutch News)
Does Singapore have a corruption problem? (FCPA Blog)
Lisa Osofsky issues her final SFO report. (WSJ)
Teens take on corruption in Nigeria. (Teen Vogue)
US issues new anti-trust guidance. (FT)
Panama ex-President sentenced for corruption. (Reuters)
Sri Lanka passes ABC bill. (AL Jazeera)
Deutsche Bank fined yet again for AML failures. (NYT)

You can check out the Daily Compliance News for four curated compliance and ethics related stories each day, here.

Connect with Tom

Tags compliance, Deutsche Bank, KPMG, Niergia, SFO, Singapore

GalloCast

Gallocast – Episode 10 – The Seven Year Anniversary Edition

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Post date July 21, 2023
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Welcome to the GalloCast. You have heard of the Manningcast in football. Now we have the Gallocast in compliance. The two top brothers in compliance, Nick and Gio Gallo, come together for a free-form exploration of compliance topics. It is a great insight on compliance brought to you by the co-CEOs of ComplianceLine. Fun, witty, and insightful with a dash of the two brothers throughout. It’s like listening to the Brothers Gallo talk compliance at the Sunday dinner table. Hosted by Tom Fox, the Voice of Compliance.

This podcast episode focuses on the importance of proper oversight and diligence when it comes to CCOs and other corporate leaders. The discussion highlights the implications of the Supreme Court’s ruling on diversity hiring, the need for internal controls implementation, the potential of ESG investment ROI, the consequences of unethical behavior, and the need for Deutsche Bank to address its culture of ethics. This episode emphasizes the need to create a culture of compliance and oversight within organizations in order to protect against fraud and mismanagement.to navigate these challenging issues in the corporate world. Tune in to GalloCast now!

Key Highlights

FTX CCO charged
Diversity after Supreme Court. Is it still important?
At what level should you apply DD to new hires? Executive level or something else
ESG-positive or negative for shareholders
BOA follows Wells Fargo with a fake accounts scandal.
KPMG caught cheating in The Netherlands
Deutsche Bank fails to meet DPA requirements.

Resources

Nick Gallo on LinkedIn

Gio Gallo on LinkedIn

Ethico

Tom Fox

Connect with me on the following sites:

Tags BOA, culture, Deutsche Bank, diversity, ESG, FTX, KPMG

Daily Compliance News

March 22, 2023 – The Fighting Autocracy Edition

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Post date March 22, 2023
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Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen to the Daily Compliance News. All from the Compliance Podcast Network. Each day we consider four stories from the business world, compliance, ethics, risk management, leadership, or general interest for the compliance professional.

Stories we are following in today’s edition of Daily Compliance News:

· Fighting Autocracy means fighting corruption. (War on the Rocks)

· Scandal killed Credit Suisse. (Bloomberg)

· JPMorgan and Deutsche Bank must defend Epstein cases. (CNN)

· Habits of Sweet 16 underdogs. (WSJ)

Tags autocracy, corruption, Deutsche Bank, Jeffrey Epstein, JPMorgan, Kleptocrats, Sweet 16

Daily Compliance News

November 19, 2022 the Elizabeth Holmes Sentenced Edition

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Post date November 19, 2022
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Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you four compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee and listen to the Daily Compliance News. All from the Compliance Podcast Network.

Stories we are following in today’s edition of Daily Compliance News:

Don’t try to avoid UFLPA. (WSJ)
Elizabeth Holmes was sentenced. (WSJ)
Deutsche Bank trader sues the bank for framing him. (FT)
New FTX CEO says the company had the worst controls he’s ever seen. (NYT)

Tags Deutsche Bank, Elizabeth Holmes, FTX, UFLPA

Daily Compliance News

June 1, 2022 the Deutsche Bank Raided Edition

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Post date June 1, 2022
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In today’s edition of Daily Compliance News:

SCt blocks the state of Texas’s attempt to dismember social media. (NYT)
Klarna’s CEO posts a list of fired employees on LinkedIn? (Bloomberg)
Deutsche Bank DWS unit raided by German Police. (CNBC)
Head of Deutsche Bank DWS unit resigns in the wake of the raid. (WSJ)

Tags Deutsche Bank, ESG, greenwashing, Klarna Bank

Daily Compliance News

April 30, 2022 the Shareholders Revolt Edition

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Post date April 30, 2022
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In today’s edition of Daily Compliance News:
·      Credit Suisse shareholder revolt against execs. (NYT)
·      Charges against BOD of Eskom recommended. (YahooFinance)
·      Latvia tries to make a comeback.  (WSJ)
·      Deutsche Bank in more hot water.  (WSJ)

Tags AML, Credit Suisse, Deutsche Bank, Eskom, Latvia, sanction

Daily Compliance News

March 12, 2022 the Judge Wants to Know Edition

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Post date March 12, 2022
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In today’s edition of Daily Compliance News:

Deutsche Bank monitorship extended. (WSJ)
Judge wanted to know who at First Energy who paid bribes. (News-Herald)
Secret deal between Google and FB. (NYT)
Musk lawyer said $420 tweet truthful. (Bloomberg)

Tags Deutsche Bank, Elon Musk, EU, Facebook, First Energy, Google, Tesla

FCPA Compliance Report

Mike Volkov on FCPA Enforcement and Compliance from 2021 and into 2022

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Post date January 10, 2022
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In this episode of the FCPA Compliance Report, I am joined by Mike Volkov to take a look back at FCPA enforcement and compliance from 2021 and prognosticate to where it may be going in 2022. Highlights of this podcast include: