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Daily Compliance News

Daily Compliance News: October 6, 2023 – The Backdoor Man Edition

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 in 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:

  • DOJ offers self-disclosure incentives in M&A. (WSJ)
  • SBF-Backdoor Man? (NYT)
  • A car wreck, death, and corruption? (Vanity Fair)
  • Alibaba accused of ‘possible espionage’. (FT)

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10 For 10

10 For 10: Top Compliance Stories For the Week Ending September 30, 2023

Welcome to 10 For 10, the podcast that 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.

  • Menendez was indicted for accepting bribes. (NYT)
  • Polish visa selling scandal. (FT)
  • FTC going after PE for serial acquisitions. (FT)
  • FCA to crack down on firms bullying their employees. (WSJ)
  • Cognizant execs trial delayed.  (Law360)
  • Indonesia vows to sue UK over Airbus settlement. (FT)
  • McKinsey to pay another $230MM for opioid settlement. (FT)
  • The US warns advisory services in China. (WSJ)
  • Chinese Deputy Bank head accused of bribery.  (Reuters)
  • SBF looking at a ‘very long’ sentence. (Reuters)

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

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2 Gurus Talk Compliance

2 Gurus Talk Compliance – Episode 14 – Ethics & Compliance for Humans Edition

What happens when two top compliance commentators get together? They talk compliance of course. Join Tom Fox and Kristy Grant-Hart in 2 Gurus Talk Compliance as they discuss the latest compliance issues in this week’s episode! In this episode, Tom and Kristy take on a wide variety of topics including a visit of Florida Woman.

In the ever-evolving world of business, the challenges of compliance, risk management, and corporate governance are becoming increasingly complex. In this episode of Two Gurus Talk Compliance podcast, hosts Tom Fox and Kristy Grant-Hart delve into these complexities, drawing from their extensive experience in the field. Tom highlights the importance of diverse approaches and perspectives in compliance, praising Adam Balfour’s book, “Ethics and Compliance for Humans,” for its focus on human thought and emotion rather than legal themes. Kristy focused on the need for a shared understanding of terminology in compliance, risk management, and corporate governance, also recommending Balfour’s book for its relatable tone and comprehensive coverage of key topics. Join Tom Fox and Kristy Grant-Hart as they continue to explore these challenges in the next episode of the 2 Gurus Talk Compliance podcast.

 Highlights Include

  1. Sen. Menendez defiant.  (ABC News)
  2. De-risking in China. (FT)
  3. Deutsch Bank fined for greenwashing. (WSJ)
  4. De-risking and China (FCPA Blog)
  5. FIFA bribery conviction tossed. (Compliance and Enforcement)
  6. FTC Names Three Amazon Executives in Suit Over Prime
  7. SEC Fines Real Estate Firm CBRE Over Violations of Whistleblower Protections (WSJ)
  8. Ex-FTX GC Launches Law Firm, Says His ‘Hugely Disappointing Experience’ Will Be Asset for Clients (Law.com)
  9. Adam Balfour’s New Book: Ethics & Compliance for Humans
  10. Florida Woman “Borrows” Alligator and Keeps it in Hotel Bathroom (7News)

 Resources 

Kristy Grant-Hart on LinkedIn

Spark Consulting

Tom

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10 For 10

10 For 10: Top Compliance Stories For the Week Ending September 23, 2023

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.

  • 3M penalized again, this time for sanctions violations.  (WSJ)
  • Illinois Supreme Court brings the hammer down on lawyers. (Reuters)
  • Mozambique can pursue tuna boat scandal losses. (GAR)
  • SBF blasts his former lawyers. (NYT)
  • Qatargate prosecutors to be investigated. (Politico)
  • Another CEO ousted for sexual harassment. (WSJ)
  • SEC probes Musk corporate perks.  (WSJ)
  • CBRE busted over pre-taliation. (Radical Compliance)
  • FTX sues SBF’s parents. (FT)
  • US Treasury Sec wants to tackle Nigerian corruption. (Bloomberg)

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

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Daily Compliance News

Daily Compliance News: September 20, 2023 – The Sins of The Parents Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance brings to you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen in 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.

·       SEC probes Musk corporate perks.   (WSJ)

·       CBRE busted over pre-taliation. (Radical Compliance)

·       FTX sues SBF’s parents. (FT)

·       BASF fights ‘conspiracy jurisdiction’. (Reuters)

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Daily Compliance News

Daily Compliance News: August 14, 2023 – The Odebrecht Strikes Again Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance brings to you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen in 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.

  • Grupo Aval settles FCPA enforcement action. (WSJ)
  • What does SCt grant of cert mean? (NYT)
  • Health care corruption sweep in China. (South China Morning Post)
  • SBF headed to jail for witness tampering. Who is next? (Reuters)
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10 For 10

10 For 10: Top Compliance Stories For the Week Ending July 29, 2023

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.

  • Zelensky warns about corruption. (FT)
  • Ukraine tackles corruption. (EuroNews)
  • New cyber disclosure rules go into effect. (AP)
  • Najib deposed in 1MDB case. (Bloomberg)
  • Cognizant investigation not outsourced. (WSJ)
  • DWS closes in on settling greenwashing charges. (FT)
  • Prosecutors want SBF jailed pre-trial. (WSJ)
  • DOJ revamps Crypto enforcement team. (WSJ)
  • Altice co-founder denies corruption. (Reuters)
  • US consultancies struggle in China after raids. (FT)

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

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Daily Compliance News

Daily Compliance News: July 27, 2023 – The Judge Wants More Time Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance brings to you compliance related stories to start your day. Sit back, enjoy a cup of morning coffee and listen in 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.

  • DWS closes in on settling greenwashing charges. (FT)
  • Ukraine tackles corruption. (EuroNews)
  • Hunter Biden judge wants more time to study plea deal. (Reuters)
  • Prosecutors want SBF jailed pre-trial. (WSJ)
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GalloCast

Gallocast – Episode 10 – The Seven Year Anniversary Edition

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

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Daily Compliance News

Daily Compliance News: June 28, 2023 – The Forget the SEC Edition

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:

  • SBF loses bid to have criminal charges tossed. (Reuters)
  • Hertz Ex CEO wins clawback attack. (Law360)
  • Zambia police arrest former President’s son on corruption charges. (VOA)
  • Will ICRS become the global climate reporting standard? (WSJ)