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Daily Compliance News

Daily Compliance News: December 11, 2024 – The Atomic Make-Up 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.

  • Continued robust export control enforcement is predicted. (WSJ)
  • Patagonia fighting forced labor through exploring ‘atomic make-up’ of clothing. (WSJ)
  • PCAOB critic to oversee the agency. (WSJ)
  • SEC is keeping an eye on PE deals.  (WSJ)

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

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

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10 For 10

10 For 10: Top Compliance Stories For the Week Ending December 7, 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.

  • McKinsey agrees to FCPA settlement for corruption in South Africa. (DOJ Press Release)
  • Judge rejects DOJ/Boeing settlement.  (WSJ)
  • Defense in Trafigura case can’t knock out star prosecution witness. (FT)
  • Was it corruption or a smart (or dumb) business deal? (TNR)
  • Tesla lost the case on the 2nd Musk pay package. (WSJ)
  • Was it fraud or worse? (NYT)
  • Paul Atkins was selected to head SEC. (FT)
  • Trump-appointed Texas judge enjoins CTA nationally. (Bloomberg)
  • OIG looks to hold nursing care execs responsible. (McKnight’s Long-Term Care News)
  • Buying/Selling homes and compliance.  (Mortgage News Daily)

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 entire 3-book series, The Compliance Kids, on Amazon.com.

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Classroom Insiders

Classroom Insiders, Season 2 – Understanding Injunctions in SEC Cases: Standards and Circuit Differences

Welcome to Season 2 of Classroom Insiders, a podcast with Professor Karen Woody and her Insider Trading Seminar students from Washington and Lee University. They explore the arc and evolution of insider trading over the last century. Each episode will feature a discussion between Karen Woody and students about insider trading and regulation. Find out what the future lawyers of the university think about past and current legislation and learn more about this fascinating area of law.

In this episode of Classroom Insiders, Professor Woody is joined by law students Allison and Emilio to delve into the complexities of injunctions in SEC cases. They explore the differences between the Second and Third Circuit standards for granting preliminary injunctions, mainly focusing on the statutory injunction standard versus the traditional four-part test. Through real-world examples, such as the SEC v. David Smith case, they discuss the practical implications of these standards on asset freezes, insider trading cases, and overall SEC enforcement efficacy. The conversation also touches on the constitutional implications of pre-trial asset freezes and the potential for judicial forum shopping, making this episode a must-listen for anyone interested in securities law and corporate compliance.

Key highlights:

  • Meet the Students: Allison and Emilio
  • Topic Overview: Insider Trading and Injunctions
  • Deep Dive: Circuit Differences in Injunction Standards
  • Case Studies: SEC Actions and Asset Freezes
  • Debate: Pros and Cons of Injunction Standards
  • Forum Shopping and Judicial Discretion

Resources:

Washington and Lee School of Law

Professor Karen Woody

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Daily Compliance News

Daily Compliance News: December 5, 2024 – The CTA Enjoined 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.

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

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

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FCPA Compliance Report

FCPA Compliance Report – Episode 737 – Navigating Compliance in a Trump Presidency: Insights and Concerns

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. This edition delves into the implications of Donald Trump’s presidency for corporate compliance and ethics.

We share some initial thoughts from compliance officers and industry experts, exploring the widespread concern over Trump’s controversial character and potential impact on businesses’ ethical cultures. Key discussion points include the existential angst among compliance professionals, the future of FCPA enforcement, and the role of influential figures like Elon Musk in the Trump administration. The episode underscores the importance of maintaining robust compliance programs despite political uncertainties and the potential for increased regulatory challenges and internal corporate risks.

Highlights in this episode:

  • Compliance in the Trump Era
  • Existential Angst in Compliance
  • FCPA Enforcement Under Trump
  • Elon Musk’s Role in the Administration
  • The Future of Compliance and Governance
  • Conclusion: The Risks of Relaxed Controls

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.

For an audio/video version of the Compliance Kids book, Speaking Up is AWESOME, contact Tom Fox.

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Daily Compliance News

Daily Compliance News: November 21, 2024-the Adani Group Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance brings to 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.

For the first time ever, the Daily Compliance News focuses on one story, the massive civil and criminal set of charges brought against the Adani Group and its founder Gautam Adani. Articles featured in this edition include, the NYT, FT and WSJ.

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

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

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2 Gurus Talk Compliance

2 Gurus Talk Compliance – Episode 41 – The Where Are We Headed 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!

Stories This Week Include:

  • End of ESG and crypt initiatives at SEC.  (WSJ)
  • What science reveals about corruption. (El Pais)
  • FinCEN, corruption, and the real estate industry.  (Reuters)
  • Would you trust Mattel to list your website?   (NYT)
  • Fat Leonard was sentenced. (NYT)
  • 10 Compliance Lessons Learned from the Telefónica Venezolana FCPA Enforcement Action (JDSUPRA)
  • DOJ has received 200 tips since launching the whistleblower program (LEGALDIVE)
  • Retaliation – The Reality From passive policy to a data-driven active anti-retaliation program (IDEAS & ANSWERS)
  • Connect With One Old Colleague or Boss (WSJ)
  • A quick guide to rekindling a business relationship gone dormant—and why it’s important to do it  
  • Ex-Disney Employee Accused of Hacking Disney World Menus, Changing Font to Wingdings (404 MEDIA)

 

Register for the First Annual Compliance Podcast Network, Agora Awards for Excellence in Podcasting. Our inaugural winners are Mary Shirely and Lisa Fine for co-founding Great Women in Compliance. The event is free on Tuesday, November 19, from 12-3 PM ET. Registration and Information here.

Resources:

Kristy Grant-Hart on LinkedIn

Spark Consulting

Prove Your Worth

Tom

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Everything Compliance

Everything Compliance: Episode 145, 8 Years Later: The Second Trump Administration

Welcome to this Special Edition of Everything Compliance. This podcast came into existence to chronicle what Donald Trump would mean for compliance in his first administration. Our first episode was 8 years ago after Trump won his first term. Now, 8 years later, we are back with a look at what the second Trump Administration may bring to compliance. This episode features the quintets of Matt Kelly, Jonathan Marks, Karen Woody, Jonathan Armstrong, and Karen Moore. They all look at various angles of how the incoming Trump Administration uses, abuses, or disregards compliance in the future.

  1. Jonathan Marks considers the PCAOB and NOCAR, what the second Trump Administration could do to this initiative and what it may all mean going forward. He shouts out to his son Daniel’s football game and rants about the 76ers and their absent star Joel Embiid.
  2. Karen Moore takes a deep dive into what the second Trump Administration will mean for compliance policies and procedures and tone at the top. She raves about the beauty in the world in times of ugliness.
  3. Matt Kelly takes a look at what the new Trump Administration may portend for corporate compliance and compliance professionals. He raves about the elections of Gene Vindman and David Valadao to Congress in the face of Trump opposition.
  4. Karen Woody looks at what the new Trump Administration may mean for the SEC going forward. She has her first ‘dirge’ in her shout out and rant to all those people who have been or will be attacked by Trump and his supporters
  5. Tom Fox shouts out the Indiana football team and their perfect record in 2024.
  6. Jonathan Armstrong looks at what a second Trump Administration might mean from ‘Across the Pond’.

The members of the Everything Compliance are:

The host and producer, rantor (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 award-winning Compliance Podcast Network.

For more information on the Ethico Toolkit for Middle Managers, available at no charge by clicking 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 12, 2024 – The Science of Corruption 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.

  • What science reveals about corruption. (El Pais)
  • End of ESG and crypt initiatives at SEC. (WSJ)
  • FinCEN, corruption, and the real estate industry. (Reuters)
  • Would you trust Mattel to list your website?  (NYT)

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 November 9, 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.

  • Canada shuts down TikTok. (NYT)
  • US backs Argentina in fight of YPF. (FT)
  • FinTechs need to be more proactive around regulatory compliance. (American Banker)
  • French soccer corruption investigations expand. (Bloomberg)
  • The cost of flouting corruption. (Forbes)
  • Fat Leonard was sentenced. (USNI)
  • How corruption facilitates organized crime. (UN)
  • SEC needs to prepare for more regulatory challenges.  (WSJ)
  • It turns out audit reports do matter.    (WSJ)
  • Warren rebukes DOJ over TD Bank settlement.    (WSJ)

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.

Connect with Tom 

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