Tag: Gary Gensler

Episode 102 – the Technical Edition

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Post date August 11, 2022
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Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In 2021, Everything Compliance was honored by W3 as a top talk show in podcasting. In this episode, we have the quartet of Jonathan Marks, Jay Rosen, Tom Fox, and Matt Kelly. In this episode, we discuss some technical issues which have all been thinking about. We conclude with our fan-favorite Shout Outs and Rants.

1. Matt Kelly takes a deep dive into the CCO certification issue focusing on the term ‘reasonable.’ He rants about the LIV exhibit golf tour and the insane amount of money being spent by Saudi Arabia to rehabilitate its reputation through sports.

2. Jonathan Marks explores auditing business segments and what it means for auditors and investors. He shouts out SEC Chairman Gary Gensler on the 20^th anniversary of the enactment of SOX.

3. Tom Fox looks at the bribery schemes used in the Biotronik FCA action and mines them for lessons learned for the anti-corruption compliance professional. He shouts out to Vin Scully, the former play-by-play announcer for the Los Angeles Dodgers.

4. Jay Rosen explores FCA USA LLC’s fraudulent emissions criminal action. He shouts out to Celtic great Bill Russell, who died this week.

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

• Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu

• Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com

• Jonathan Armstrong –our UK colleague is an experienced data privacy/protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com

• Jonathan Marks is Partner, Firm Practice Leader – Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.com

The host and producer, ranter (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 Compliance Podcast Network.

Tags Bill Russell, Biotronik, CCO certification, FCA USA LLC, Gary Gensler, LIV Golf, reasonably effective compliance programs, segment auditing, SOX

Everything Compliance - Shout Outs and Rants

Everything Compliance-Shout Outs and Rants from Episode 102

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Post date August 9, 2022
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Welcome to our fan-favorite Shout Outs and Rants.

Matt Kelly rants about the LIV exhibit golf tour and the insane amount of money being spent by Saudi Arabia to rehabilitate its reputation through sports.
Jonathan Marks shouts out SEC Chairman Gary Gensler on the 20^th anniversary of the enactment of SOX.
Tom Fox shouts out to Vin Scully, the former play-by-play announcer for the Los Angeles Dodgers.
Jay Rosen shouts out to Celtic great Bill Russell, who died this week.

The members of Everything Compliance are:

Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com
Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu
Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com.
Jonathan Armstrong is our UK colleague, an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at armstrong@corderycompliance.com.
Jonathan Marks is Partner, Firm Practice Leader – Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at marks@bakertilly.com.

Tags Bill Russell, Gary Gensler, Jay Rosen, Jonathan Marks, LIV Golf Tour, Matt Kelly, SEC, SOX, Tom Fox, Vin Scully

This Week in FCPA

Episode 298 – the NBA Playoffs Are Here edition

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Post date April 22, 2022
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As the Celtics win Game One with a buzzer beater, Tom and Jay are back to look at some of the week’s top compliance and ethics stories in the NBA playoffs are here edition.
Stories

Mike Volkov takes a deep dive into the recent DOJ trial record. In a 3-part series on Corruption Crime and Compliance.
Sexual harassment case too implausible for Hollywood? Adam Manno in the Daily Mail.
KT Corp FCPA enforcement action analysis. Lawyers from Debevoise in Compliance and Enforcement.
Stericycle FCPA settlement. DOJ Press Release. Harry Cassin the FCPA Blog. Tom begins a 3-part series on the FCPA Compliance Report.
Data analytics informs SEC enforcement action. Jaclyn Jaeger in Compliance Week.
SEC Chair Gensler reflects on 1^st year of Chairmanship? Ephrat Livny in NYT.
Into the crystal ball on climate disclosures. Mai-Khoi Nguyen-Thanh and Taylor Wirthin CCI.
Should Elon Musk have been stopped long ago? Francine McKenna in Time.
What should be on your audit committee agenda for 2022? Maureen Bujno, Krista Parsons and Kimia Clemente in Harvard Law School Forum on Corporate Governance.
Putting the ‘G’ first in ESG. Lawrence Heim in practicalESG

Podcasts and More

Tom visits with Matt Galvin and Dan Kahn over a 2-part podcast series. In Part 1, they talk about dealing with the DOJ during a FCPA investigation and thereafter. In Part 2 we took a deep dive into the Lisa Monaco speech and what it means for compliance professionals.
What is the only podcast dedicated to the intersection of Compliance and ESG? It’s the Compliance ESG Podcaston the CPN. Check out this week’s episode with Erika Peters of Exiger on the ESG Standards. For your added viewing pleasure check out the video pod on YouTube.
This month on the Compliance Life, I visit with Susan Divers, Director of Thought Leadership at LRN. In Part 1, academic life and early professional career. In Part 2, she moves to the corporate world. In Part 3, Susan moves into the CCO chairs at AECOM.
Are you a MCU fan? If so check out the latest 2 episodes of Popcorn and Compliance-the MCU Series as Tom and Megan Dougherty are going through the full MCU in chronological, not release date order. The latest two episodes are Black Widow and Black Panther.
Why should you attend Compliance Week 2022? Find out on this episode of From the Editor’s Desk. Listeners get a $200 discount to CW 2022 with the discount code TFLAW $200 OFF. More here.

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.