Tag: GameStop

With two black swan events in January alone, Tom and Jay wonder what else 2021 will bring. Jay bemoans Tompa Bay in the Super Bowl.They are also back to look at some of the top compliance articles and stories which caught their eye this week.

1. What does GameStop portend for compliance? Toms take a deep dive on the FCPA Compliance and Ethics Blog. Part 1-Background, Part 2-the Shorts, Part 3-the Squeeze, Part 4-the Regulators, Part 5-Final Thoughts. Tom and Matt Kelly take a deep dive on Compliance into the Weeds.
2. Enterprise risks going forward. Matt Kelly looks down the road in Radical Compliance.
3. Solar Winds turning into a Pandora’s Box? Jaclyn Jaeger explores in Compliance Week. (sub req’d)
4. Risk culture in the digital age. Jim DeLoach explores in CCI.
5. What does the CFTC settlement with Vitol portend for enforcement (and compliance). Gibson Dunn lawyers in NYU’s Compliance and Enforcement.
6. Top regulatory trends to watch under the Biden Administration. Rachel Wooley in CCI.
7. Is your compliance team too big? Dick Cassin asks in the FCPA Blog.
8. Can compliance help with a workplace morale crisis? Richard Bistrong opines in the FCPA Blog.
9. On The Compliance Life, Natalia Shehadeh, CCO at ABB joins me this month. In this first episode, Natalia explains why she choose the compliance profession. Check out the Episode 1.
10. New podcasts out on the Compliance Podcast Network this month. In ComTech, Valerie Charles joins Tom for an exploration of the intersection of compliance and technology. Check out Episode 1. Episode 2 posts Monday, February 8. In Big Brains in Compliance Tom is joined by Stephen Martin to visit with some of the top thinkers and doers in compliance. It premiers February 22. Finally Tom premiers The Compliance Handbook, a podcast focusing on the nuts and bolts of compliance. In Episode 1, he is joined by Stephen Martin to talk about how to best think through a comprehensive compliance program. It premiers Tuesday, February 10.
11. A new AMI podcast is out, Integrity Through Compliance. It will have AMI’s expert observations and guidance in the fields of ethics, antitrust, healthcare, government contracting, corporate governance, cybersecurity, construction, telecommunications, consumer protection and more.In this first episode, AMI founder Vin DiCianni visits with AMI MD Jerry Coyne the future of telehealth & home healthcare during a pandemic and beyond. Check it out here.
12. Join K2 Integrity and the AIBACP for a webinar on February 17—National Defense Authorization Act: AML Compliance Implications and Priorities for the Banking Industry. Information and Registration here. On Thursday, February 25, join the “Ask an Expert FINQuiry” webinar on DOLFIN: K2 Integrity’s financial crimes compliance experts will respond to your AML/CFT, sanctions, and other financial-integrity-related questions. Information and Registration here.
13. Compliance Week is accepting nominations for its Excellence in Compliance Award. Submit your nominee here.
14. Join the Baker Tilly Fraud 1st Annual Fraud and Compliance Summit, Tuesday, Feb 23, 2021, to Thursday, Feb 25, 2021. Details and registration 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.

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. Today we consider the GameStop matter through the lens of the compliance profession. Some of the issues we consider are:

• What is the background?
• What are the compliance implications of this matter?
• Is this a black swan event or just ‘business as usual?
• Short sellers in the bulls-eye?
• The role of the regulators?
• Who are Robinhood’s stakeholders?
• What is the more relevant precedent; Long Term Capital or the Panic of 1907?
• What is the role (or responsibility) of social media?

Resources
Check out Tom’s 5-part blog post series on GameStop and Compliance:
GameStop and Compliance-Introduction
GameStop and Compliance-The Shorts
GameStop and Compliance-The Squeeze and Social Media
GameStop and Compliance-The Regulatory Response
GameStop and Compliance-Lessons for the Compliance Professional