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Daily Compliance News

Daily Compliance News: October 18, 2023 – The Not Reckless 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:

  • Davos in the desert.   (NYT)
  • Break up News Corp?  (FT)
  • SBF lawyers say FTX investments ‘not reckless’. (Reuters)
  • HSBC blocks employees from texting. (Bloomberg)
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10 For 10

10 For 10: Top Compliance Stories For the Week Ending October 14, 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.

  • Staley was banned from the financial services arena.   (FT)
  • More 1MDB trouble for Goldman.  (Reuters)
  • When your ex testifies in your fraud case. (WaPo)
  • CA law requires companies to report carbon emissions.  (BBC)
  • Belgium to unfreeze frozen Russian assets. (WSJ)
  • SFO brings corruption charges.  (FT)
  • Elon Musk’s legal woes. (Reuters)
  • Crypto is having trouble getting CCOs. (WSJ)
  • Roger Ng heads to Malaysia.   (AP)

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 15 – The I Don’t Like it 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 to Florida Women.

The landscape of corporate compliance is ever-evolving, with recent developments posing new challenges and opportunities for businesses. Compliance is a dynamic process that requires constant monitoring and retrospective reviews to identify potential risks and changes. He also emphasizes the importance of involving compliance officers early in the due diligence process of mergers and acquisitions and acknowledges the complexities of managing conflicts of interest in networking and hiring. Tom and Kristy advocate for a proactive approach to compliance, highlighting the importance of regulatory resources such as the New York State Department of Financial Services’ cybersecurity rules. She also stresses the need for clarity and certainty in compliance practices, particularly in areas like mergers and acquisitions and conflicts of interest. Join Tom Fox and Kristy Grant-Hart as they delve deeper into these issues in the latest episode of the 2 Gurus Talk Compliance podcast.

 Highlights Include:

  1. Albemarle FCPA enforcement action. (FCPA Blog)
  2. DAG Monaco on more credit for self-disclosure, this time in M&A. (Radical Compliance)
  3. NYDFS Comments on proposed cyber disclosure amendments. (Compliance and Enforcement Blog)
  4. Michael Lewis and SBF. (The Dig)
  5. Identifying compliance blind spots. (CCI)
  6. Lawmakers Press NBA, Players Union on Forced Labor (WSJ)
  7. Can you tell the difference between acceptable networking and wrongful hiring practices? (FCPA Blog)
  8. Crypto Sector Seeks Lawyers, Compliance Officers After Reputational Hits (WSJ)
  9. Stop Obsessing About Work All the Time (WSJ)
  10. Two women stole bags of food from Florida Taco Bell during armed robbery, deputies say (Fox 25 Orlando)

Resources 

Kristy Grant-Hart on LinkedIn

Spark Consulting

Tom

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Daily Compliance News

Daily Compliance News: October 13, 2023 – The Prime Time 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:

  • Staley was banned from the financial services arena.  (FT)
  • More 1MDB trouble for Goldman. (Reuters)
  • When the ex testifies-Day 3. (WaPo)
  • Leadership with Prime Time. (WSJ)
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Daily Compliance News

Daily Compliance News: October 12, 2023 – The Unfreeze 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:

  • OECD approves tax treaty for digital giants. (FT)
  • CA law requires companies to report carbon emissions. (BBC)
  • When the ex testifies-Day 2. (NYT)
  • Belgium to unfreeze frozen Russian assets. (WSJ)
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Daily Compliance News

Daily Compliance News: October 11, 2023 – The Where Have All the CCOs Gone 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:

  • Roger Ng heads to Malaysia.  (AP)
  • When your ex testifies in a fraud case. (Law360)
  • Corruption in Canada? (Bloomberg)
  • Crypto is having trouble getting CCOs. (WSJ)
Categories
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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Daily Compliance News

Daily Compliance News: October 5, 2023 – The Space Junk 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:

  • Matt Levine on what Michael Lewis said about SBF. (BBC)
  • New compliance risk—space junk. (NYT)
  • Is the NBA too cozy with China? (WSJ)
  • Will the CFPB survive the Supreme Court? (Reuters)
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Daily Compliance News

Daily Compliance News: October 3, 2023 – The SBF Day of Reckoning 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 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:

  • The US sees Ukraine’s corruption as a real threat.   (Politico)
  • Microsoft CEO testifies Google hurt Bing.  (WSJ)
  • Trump is alleged to have reaped over $100MM through fraud. (Reuters)
  • SBF trial begins. (NYT)
Categories
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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