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Everything Compliance - Shout Outs and Rants

Shout Outs and Rants – Episode 141

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we take up a potpourri of topics. We have the quartet of Matt Kelly Jonathan Armstrong, Jonathan Marks, and Karen Moore; all hosted by Tom Fox.

  1. Matt Kelly shouts out to Michaela DePrince for a life well lived.
  2. Karen Moore shouts out to Nick Gallo and asks all to keep him in their thoughts and prayers for a speedy recovery.
  3. Karen Woody shouts out to pop culture and the great show on Apple TV Slow Horses.
  4. Jonathan Marks shouts out to eBay for providing authenticator services and briefs us on the Keeper Test.
  5. Tom Fox shouts out to Los Angeles Dodger Shohei Ohtani for having one of the greatest single seasons in MLB by a hitter.

The members of the Everything Compliance are:

The host and producer, rantor (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 award-winning Compliance Podcast Network.

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Compliance Into the Weeds

Compliance into The Weeds: To Monitor or Not to Monitor: What is even The Question?

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to more fully explore a subject. Looking for some hard-hitting insights on compliance? Look no further than Compliance into the Weeds! In this episode, Tom and Matt take a deep dive into the seeming inconsistency in approaches to monitoring (or lack thereof) in two recent DOJ enforcement actions involving eBay and SAP.

The Department of Justice’s (DOJ) seemingly inconsistent approach to corporate enforcement and compliance monitoring has been a topic of much debate and confusion. Or has it? This inconsistency is particularly evident in the assignment of compliance monitors and CCO certification, as seen in the contrasting cases of eBay and SAP. Does the DOJ have a contradictory approach? What are the criteria for assigning monitors? Are local U.S. Attorneys may be following their own agendas, leading to this inconsistency. Is there a lack of logic and effectiveness in the DOJ’s policies? To delve deeper into this issue, join Tom Fox and Matt Kelly in this episode of Compliance into the Weeds.

Key Highlights:

  • Effectiveness and Consistency of Compliance Monitors
  • Incentivizing self-disclosure and remediation in corporate enforcement
  • Inconsistent assignment of monitors based on misconduct
  • Inconsistent enforcement practices by U.S. Attorneys

Resources:

Matt on Radical Compliance

Tom 

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Everything Compliance

Everything Compliance – Episode 128, The Frozen Edition

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have the quartet of Jonathan Armstrong, Matt Kelly, Karen Woody, and Jay Rosen, all hosted by Tom Fox, joining us on this episode to discuss some of the topics they are watching during this extended cold spell across the US.

1. Matt Kelly looks at the tale of two companies, eBay and SAP, and the disparity in whether monitorships were mandated. He shouts out to Saul Dreier and the Holocaust Survivors Band, who recently played a gig at the White House.

2. Tom Fox shouts out to Sir Elton John for winning an Emmy, thus becoming only the 18th person to hold the prestigious EGOT designation.

3. Jonathan Armstrong looks at the new SFO director and his new focus for the beleaguered agency.  He shouts out to Nick Rossi (or whatever name he is using) and his 16 aliases.

4. Jay Rosen takes a deep dive into the SAP Foreign Corrupt Practices Act enforcement action. He shouts out to the Cara Cara naval oranges.

5. Karen Woody looks at the Segway shareholder case and its duty of oversight analysis for an officer. She shouts out to all the folks in Indiana who work and fix things during a deep freeze and those manning homeless shelters.

The members of the Everything Compliance are:

  • Jay Rosen is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com
  • Karen Woody is one of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu
  • Matt Kelly is the 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 jonathan.armstrong@corderycompliance.com
  • Jonathan Marks can be reached at jtmarks@gmail.com.

The host, producer, ranter (and sometimes 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.

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The Compliance Life

Rob Chesnut – To eBay, Silicon Valley and Fraud Prevention


The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Rob Chesnut, whose most recent position was as the Chief Ethics Officer at Airbnb. He is also the author of the best-selling book,  ​Intentional Integrity: How Smart Companies Can Lead an Ethical Revolution with St Martin’s Press.
In this second episode, we take up Rob’s move across country to become the 3rd lawyer at eBay in the 1990s. We visit about what eBay and Silicon Valley like in those early days. We discussed Rob’s fraud prevention program he created at eBay.  We discussed how  the process of taking a company public help to focus on compliance.