Tag: ethics

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ComplianceLIVE

Fun-Size Your Password Can’t Be PASSWORD123: Staying Compliant While Working From Home

Amanda zooms with show regular Chris Martin about how to stay compliant while working from home.

Check out more episodes and full episode videos at ComplianceLine.com, and don’t forget to subscribe on your favorite podcast platform!

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This Week in FCPA

Episode 181-the Fishy Letters edition

SEC Chair Jay Clayton is reduced to having a PR firm create fake investor comments to support a SEC rule change. The Astros cheating scandal gets worse. As Tom worries MLB might take away his replica World Series Championship Trophy and Jay consoles him about when a team cheats and wins, they turn to some other of this week’s top compliance and ethics stories which caught their collective eyes.

  1. Using the same defense as Hoskins, Boustani admits bribery and corruption in Mozambique Tuna Boat case. Will it work out any better for him? Steward Bishop and Frank Runyeon in Law360. (Sub Req’d)
  2. SEC whistleblower tips go down for the first time. Kristen Broughton in the WSJ Risk and Compliance Journal. Kevin LaCroix sees it otherwise, on the D&O Diary.
  3. Jay Clayton gins up fake written comments to support regulation change. Zachary Mider and Ben Elgin report in Bloomberg.
  4. Former Keppel Offshore lawyer sentenced to time served. Dick Cassin reports in the FCPA Blog.
  5. Why punishing the bribe takers is equally important as punishing the bribe payors? Matthew Stephenson explains it all in the Global Anti-Corruption Blog.  
  6. Does an aggressive position in a Wells submission hurt a company in a SEC enforcement action? Lawyers from Simpson Thatcher explore in NYU’s Compliance and Enforcement Blog.
  7. What is ‘enforcement fatigue’ and how did Alstom overcome it? Dylan Tokar reports in the WSJ Risk and Compliance Journal.
  8. of Treasury bringing more sanctions cases against shipping companies. Kristin Broughton reports in the WSJ Risk and Compliance Journal.
  9. What will risk and compliance look like in 2020? David Banks considers in Navex Global’s Ethics & Compliance Matters blog.
  10. How does M&A benefit from an independent assessment? Jay continues his series on CCI.
  11. What are the implications of Gen Z on the front lines of compliance? Gaurov Kapoor explores in CCI.
  12. Recent FCPA enforcement actions shows the SEC will use FCPA Accounting Provisions to hold a company liable for ineffective AML controls. Clay Porter in the National Law Review.
  13. Navex’s Loren Johnson joins the podcast to talk about Navex Global’s 2020 Benchmarking Survey.You can participate in Navex Global’s annual survey by clicking here.

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.
For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.

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Daily Compliance News

Daily Compliance News: May 16, 2019-the CEOs and ethical lapses edition

In today’s edition of Daily Compliance News:

  • More business leaders forced out for ethical lapses than for poor financial performance in 2019. (Washington Post)
  • Do large companies fear legal violations? (New York Times)
  • Nordic/Baltic countries agree to share AML information. (Wall Street Journal)
  • Anti-corruption measures as KPIs for government ministers. What a novel idea. (Yahoo Business News)AML
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Compliance Into the Weeds

Compliance into the Weeds: Episode 120-On the Ethical Tarmac

Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, Matt Kelly (the coolest guy in compliance) and I take a deep dive into continued ethical, reputational and business imbroglio which Boeing finds itself in around the 737 MAX airliner, as the company finds itself on the ethical tarmac.
Some of the highlights include:

  • Where does compliance come into a sales strategy?
  • Who is responsible for entailing safety – the buyer or seller?
  • What does it mean from the compliance perspective is a safety upgrade is optional?
  • How does regulatory capture affect overseas sales?
  • What is the legal analysis around safety and options for safety upgrade on products?
  • Who should regulate the supply side-the government or the market?

For more reading check out Matt’s blog post “More on Boeing and Business Ethics”

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This Week in FCPA

This Week in FCPA-Episode 46, the On the Rode to Prague Edition

  • Why powerful people fail to stop bad behavior by their underlings. Click here for the article.
  • Some policy management lesson, courtesy United Airlines. Click here for Matt Kelly’s article on Radical Compliance.
  • Why you shouldn’t linger too long in the wrong compliance position. See Julie DiMauro’s blog post on the FCPA Blog.
  • Bribe recipient in the Gerald and Patricia Green FCPA case gets 50 years in prison. See article in the FCPA Blog.
  • Using data to operationalize your compliance program. Read Tom’s blog post, by clicking here.
  • What the New York state Department of Financial Services new regulation on cybersecurity for financial services companies means for compliance officers. See Tom’s blog post by clicking here.
  • Jay previews his weekend report.

    • Jay Rosen new contact information:
    Jay Rosen, CCEP
    Vice President, Business Development
    Monitoring Specialist
    Affiliated Monitors, Inc.
    Mobile (310) 729-6746
    Toll Free (866)-201-0903
    JRosen@affiliatedmonitors.com
    [tweet_box design=”default” url=”http://wp.me/p6DnMo-3aD” float=”none”]How can the use of data help to operationalize your compliance program?[/tweet_box]]]>