Tag: E&C

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Great Women in Compliance

Lisa Fine – Do Something That Scares You

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

Eleanor Roosevelt (at least it is attributed to her) said “do something that scares you every day.”  There have been a lot of scary things over the past few years, but the idea of leaving your comfort zone is an important one.  Last November, Lisa told Nick Gallo on the Ethics Experts podcast, that she fears doing solo episodes, and made a vow to herself that she would do that once a year.  It’s August, and here is that episode.

Lisa talks about a few topics.  One thing that is top of mind is what makes a great E&C leader and manager, and she goes through the things that are important to her and what she has learned from her managers and organization leaders.  Not surprisingly, being loyal, listening, and empowering team members to try new ideas are just a few of the qualities of note.

Lisa had also said that she would follow along with Matt Kelly’s lead and try to speak with the Blenderbot AI tool about ethics and compliance.  The discussion started with why pizza dough was important and had some highlights including that lean manufacturing is a tool to help avoid corrupt behavior, a few references to presidential pardons, and ended with blenderbot saying it also works as an attorney for a large corporation as its alter ego.  The discussion highlights the issues of using AI and bots, and shows how it is “learning” from the crowd that uses/takes it over.

Lisa ends with some things on her mind in E&C as we come towards the end of 2022 , and hopes that you enjoy this episode, it makes you think, and that you will reach out with comments and thoughts.

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.  If you have a moment to leave a review at the same time, Mary and Lisa would be so grateful.  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). If you enjoyed the book, the GWIC team would be very grateful if you would consider rating it on Goodreads and Amazon and leaving a short review.

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.

Categories
This Week in FCPA

Episode 247 – the GES edition


As the Baylor Bears win their first NCAA BB title and Ethisphere’s annual Global Ethics Summit is just around the corner, Tom and Jay are back to look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA. This week we are joined by special guest Kevin McCormack from Ethisphere who highlights the 2021 Global Ethics Summit.
Stories

  1. Credit Suisse feels the pain of poor risk management. Matt Kelly in Radical Compliance. Dylan Tokar in the WSJ Risk and Compliance Journal. Tom Smith in the Financial Times.
  2. Jason Meyer sees a win for compliance and ethics, on LinkedIn.
  3. Is a SOX whistleblower required to prove fraud? Jason Zuckerman in the Whistleblower Protection Blog.
  4. Karen Woody named Herndon Fellow. Peter Jettons in The Columns.
  5. Accountability: it’s all of us. Sam Sliverstein in LinkedIn.
  6. Time for a national privacy law. Steven Cavey in CCI.
  7. Is what you need Goldilocks compliance? Jeff Kapan in CEP.
  8. Ready to move into compliance or risk management? Dick Cassin says asks some questions first, in the FCPA Blog.
  9. How to protect whistleblowers? Alexander Ghavinian in the FCPA Blog. Six principles of whistleblower protection. František Nonnemann the Risk and Compliance Platform Europe.
  10. As int’l anti-corruption evolves, is the US losing its place. Robert Clark explores in the FCPA Blog. 

Podcasts and Events

  1. On Integrity Through Compliance, Don Stern and Eric Feldman host former DAG Rod Rosenstein for a two-part series on the past, present and furture of compliance and independent monitoring. Check out Part 1 here.
  2. Tom and Megan Dougherty are doing a special podcast series around The Falcon and The Winter Soldier, currently streaming on Disney+. Check out Episodes 1&2 and Episode 3.
  3. This month on The Compliance Life, Tom welcomes Jonathon Kellerman. In Episode 1, Jonathon discusses the path he took to compliance.
  4. CCI releases a new eBook, The FCPA Year in Review by the Compliance Evangelist, Tom Fox. You can obtain a copy here. Best of all its available at no charge.
  5. Join Tom and Jay at Ethisphere’s 2021 Global Ethics Summit, which will be held virtually April 13-15. Listeners to this podcast will receive a 15% discount to Ethisphere’s Global Ethics Summit For more information and registration details click here. Use the code tomfox15 for your discount.
  6. Join K2 Integrity’s financial crimes compliance professionals on Thursday, 22 April 2021, at 10 AM ET for DOLFIN’s “Ask an Expert FINQuiry” webinar, for a discussion on the impact of ongoing developments in the financial integrity community. Information and Registration here.
  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. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards.

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

The Not Headed to Doral edition

Welcome to the only roundtable podcast in compliance. Today, we have a quintet of Jay Rosen, Matt Kelly, Sarah Hadden, Jonathan Armstrong and Mike Volkov with a potpourri of topics and commentary on current events from the compliance perspective. Rants and shouts outs follow the commentary for this episode, with one public service announcement from across the pond.

  1. Mike Volkov takes a deep dive into the debate on whether a Chief Compliance Officer should report to the GC or not. Volkov shouts out to Harvard Law Professor Matthew Stephenson for his great blog site Global Anti-Corruption Blog and specifically his recent blog post, If You Don’t Think Conflicts of Interest Matter, Consider the Kurds.
  2. Jay Rosen discusses the role ethics and compliance in the Mergers and Acquisition process. Rosen shouts out General James Mattis’ and his remarks at the Alfred Smith Dinner where accepted Trump’s claim he was the ‘most-overrated general’ by noting Trump had said 3-time Oscar winner Meryl Streep was the ‘most-overrated actress.’
  3. Sarah Hadden takes things a different direction by reading the eBook Trump and Compliance which was published in late 2016 and was based on the Everything Compliance gang’s predictions of how compliance would fare under the Trump Administration. Hadden shouts out to a new section of CCI which will focus on those persons early in their compliance careers. It is certainly a welcome addition to the compliance discussion.
  4.  Matt Kelly provides breaking news by discussing the SEC proposed changes to its Whistleblower Program. Kelly shouts out to Boston Celtic Enes Kantor for calling out the NBA on its hypocrisy on China.
  5. Jonathan Armstrong discusses the growing tide of US-style class actions coming to the UK and EU around the issue of data breaches under GDPR. Armstrong provides a public service announcement around the perils of using Apple Pay and the failure to Document Document Document.
  6. Tom Fox rants about the surreal news conference given by Acting Chief of Staff Mick Mulvaney where he (1) admitted the President violated US law in requiring a quid pro quo from Ukraine for the Congressionally mandated US aid package, claiming it was ‘just politics’ and (2) admitted the President violated the Emoluments Clause of the US Constitution by announcing the President had ordered the 2020 G-7 Summit to be held at Trump properties.

Resources:
From Jonathan Armstrong, on the always great Cordery Compliance site:
UK Data Protection Regulator Announces Intention to Fine BA after Data Breach
Life with GDPR – Episode 22 – Morrisons And Vicarious Liability
Client Alert: Doors open for data protection class action as appeal court allows Google claim to proceed?
 From Matt Kelly, the coolest guy in Compliance, on Radical Compliance:
SEC Tees up Whistleblower Reforms
 From Mike Volkov’s remarks, two articles from Compliance Week (sub req’d)
Point: Why CCOs should report to GC by Jeff Kaplan
Counterpoint: CCO, GC independence is critical by Matt Stankiewicz
From Sarah Hadden, the eBook published by CCI:
Trump and Compliance-the Conversation is Just Getting Started
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
  • Sarah Hadden –Publisher at Corporate Compliance Insights. Hadden can be reached at Sarah@corporatecomplianceinsights.com

The host and producer (and sometime panelist) of Everything Compliance is Tom Fox the Compliance Evangelist. Everything Compliance is a part of the Compliance Podcast Network.