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10 For 10

10 For 10: Top Compliance Stories For the Week Ending November 23, 2024

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 you the compliance professional and the compliance stories you need to know to end your busy week. Sit back, and in 10 minutes, hear the stories every compliance professional should know 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.

  • Is bribery how business is done in India? (NYT)
  • Adami Group charged with fraud, FCPA violations. (NYT)
  • Trafigura heads to trial in Switzerland. (Bloomberg)
  • A layer of crypto corruption. (TheBulwark)
  • Firings as layoffs without benefits. (FT)
  • KPMG rehabbed in the UK.  (FT)
  • Founder of Crypto mixer sentenced to 3 years in prison. (WSJ)
  • Bill Hwang gets 18 years. (NYT)
  • Gary Wang receives no prison time. (NYT)
  • Jay Clayton was picked to head SDNY. (FT)

For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here.

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

Check out the full 3-book series, The Compliance Kids, on Amazon.com.

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Daily Compliance News

Daily Compliance News: November 18, 2024 – The Top Wall Street Cop 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.

  • The new administration has massive corruption. (The New Republic)
  • Jay Clayton was picked to head SDNY. (FT)
  • Founder of Crypto mixer sentenced to 3 years in prison. (WSJ)
  • US says Bill Hwang should get 21 years.  (Reuters)

For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here.

Check out the full 3-book series, The Compliance Kids, on Amazon.com.

Categories
10 For 10

10 For 10: Top Compliance Stories For the Week Ending September 16, 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.

  • Turkish fraud sentenced to 11,196 years in prison. (BBC)
  • EU has massive money-laundering problem.(AML Intelligence)
  • Will a name change for SNC-Lavalin help it overcome its corrupt past?  (Bloomberg)
  • Rubiales resigns. (ESPN)
  • Australian tycoon says workers need to see pain to return them to subservience. (BBC)
  • BP CEO resigns for lying about ‘multiple’ relationships with employees. (com)
  • Businesses should disclose China risks. (WSJ)
  • DOJ ramps up National Security enforcement resources. (WSJ)
  • No timeline for climate disclosure from SEC. (WSJ)
  • New pod on corruption. (Dirty Deeds)

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

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Compliance Into the Weeds

The SEC Tenure of Jay Clayton


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 and Tom go into the weeds to look at the SEC Chairmanship of Jay Clayton who announced he was stepping down at the end of the year. Some of the issues we consider are:

  • Tom call it a mixed bag and Matt had mixed views?
  • His first 12 to 18 had a series of crisis including a cyber breach at the SEC itself, the PCAOB scandal with KPMG and Crypto-currency issues.
  • Matt felt Clayton did a good job of listening.
  • He worked to open non-capital markets for investment.
  • In the SEC enforcement action, he basically said Elon Musk was too important to Tesla to punish.
  • His abortive move to head the SDNY was reputational disaster.