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From the Editor's Desk

November and December 2022 in Compliance Week

Welcome to From the Editor’s Desk, a podcast where co-hosts Tom Fox and Kyle Brasseur, EIC at Compliance Week unpack some of the top stories which have appeared in Compliance Week over the past month, look at top compliance stories upcoming for the next month, talk some sports and generally try to solve the world’s problems.

In this month’s episode, we look back at top stories in CW from November around the SEC enforcement statistics for the prior years, how CW will report and cover the FTX scandal and take a deep dive into the print edition which focused on tech and innovation in compliance and the creative use of the DOJ’s Evaluation of Corporate Compliance Programs and its Update by Home Depot to assess its own compliance program and remediate any gaps in a proactive manner. We previewed some of the stories CW will look at in December including several articles from the CW ‘Inside the Mind of the CCO’ survey which was concluded in October.

We conclude with a look at some of the top sports stories including a look at the NFL season as it moves into its final full month of regular season play, riff on the World Cup and the US win over Iran and ask if Tom Brady should have retired and stayed retired for the 2022 season.

 Resources

Kyle Brasseur on LinkedIn

Compliance Week

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Great Women in Compliance

Episode 155 – Mia Reini on DIY Compliance


Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.
In this week’s episode of Great Women in Compliance, Mary brings the team back from break with an interview with Mia Reini, a Compliance leader at the Home Depot. Mia tells us about her efforts to bring Home Depot’s Compliance awareness initiatives external to the company as a goal, discusses the difference between risk management and compliance, and gives tips for policy governance.
We often get asked whether we accept recommendations or nominations for GWIC guests – the answer is absolutely! We’ll be happy to receive any suggestions and feedback – send them through to podcast@greatwomenincompliance.com detailing what makes the individual stand out as a great woman in compliance. Please note that we are not an advertising agency and do not accept nominations for vendor marketing to ensure consistently high-quality episodes.
The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance-related offerings to listen to. If you are enjoying this episode, please rate it on your preferred podcast player to help other like-minded Ethics and Compliance professionals find it. 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 podcast’s story. 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).
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.

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Compliance Week Conference Podcast

Mia Reini on Proactive Response to DOJ Guidance – What to Expect from Regulators and The Home Depot Compliance Response

In this episode of the Compliance Week 2022 Preview Podcasts series, Mia will discuss some of her presentation at Compliance Week 2022 “Proactive Response to DOJ Guidance – What to Expect from Regulators and The Home Depot Compliance Response”. Some of the issues she will discuss in this podcast and her presentation are:

  • Hear ex-regulators’ perspectives on the good, the bad and the ugly when it comes to staying compliant with the DOJ’s guidance
  • Gain insights from Home Depot’s proactive response, including takeaways from an internal review and reaction to the DOJ guidance
  • Walk away with a plan on what to do if a regulator reaches out to your organization

In this first full compliance conference in over 2 years, I hope you can join me at Compliance Week 2022. This year’s event will be May 16-18 at the JW Marriott in Washington DC. The line-up of this year’s event is simply first rate with some of the top ethics and compliance practitioners around.

Gain insights and make connections at the industry’s premier cross-industry national compliance event offering knowledge-packed, accredited sessions and take-home advice from the most influential leaders in the compliance community. Back for its 17th year, compliance, ethics, legal, and audit professionals will gather safely face-to-face to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs. and many others to:

  • Network with your peers, including C-suite executives, legal professionals, HR leaders and ethics and compliance visionaries.
  • Hear from 75+ respected cross-industry practitioners who are CEOs, CCOs, regulators, federal officials, and practitioners to help inform and shape the strategic direction of your enterprise risk management program.
  • Hear directly from the two SEC Commissioners and gain insights into the agency’s areas of enforcement and walk away with guidance on how to remain compliant within emerging areas such as ESG disclosure, third-party risk management, cybersecurity, cryptocurrency and more.
  • Bring actionable takeaways back to your program from various session types including ESG, Human Trafficking, Board obligations and many others for you to listen, learn and share.
  • The goal of Compliance Week is to arm you with information, strategy and tactics to transform your organization and your career by connecting ethics to business performance through process augmentation and data visualization.

I hope you can join me at the event. For information on the event, click here. As an extra benefit to listeners of this podcast, Compliance Week is offering a $200 discount off the registration price. Enter discount code discount code TFLAW $200 OFF.

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Daily Compliance News

February 7, 2022 the Play Money Edition


In today’s edition of Daily Compliance News:

  • Credit Suisse faces new money-laundering charges. (Reuters)
  • Art market and AML risk.  (WSJ)
  • Play money at Home Depot. (NYT)
  • Global response needed for South African corruption. (FT)