Tag: SEC

Daily Compliance News

August 8, 2022 the Morgan Stanley Settles edition

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Post date August 8, 2022
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In today’s edition of Daily Compliance News:

Ex-PR gov arrested on corruption charges. (Bloomberg)
Morgan Stanley settles FTC, CFTC enforcement actions. (Reuters)
Top 10 least corrupt countries in Africa. (Business Insider)
OBG’s avoided forced birth states. (WaPo)

Tags CFTC, corruption, Morgan Stanley, OBGs, SEC

Daily Compliance News

August 5, 2022 the Oops edition

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Post date August 5, 2022
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In today’s edition of Daily Compliance News:

The jury picked in ex Blue Bell CEO criminal case. (Food Safety News)
SEC addresses COIs. (Reuters)
Binance investigation teams bitches about news coverage. (CoinDesk)
Alex Jones’s lawyers ‘accidentally’ sent all his texts to opposing counsel. (Houston Chronicle)

Tags Alex Jones, Binance, Blue Bell, COIs, Paul Kruse, SEC

Daily Compliance News

July 30, 2022 the Bend Every Rule edition

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Post date July 30, 2022
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In today’s edition of Daily Compliance News:

Why Rotterdam balked. (NYT )
No deal, no audit. (Reuters)
Lawsuit over SEC whistleblower award. (WSJ)
Debt markets must pay attention to corruption. (FT)

Tags corruption, Jeff Bezos, PCAOB, SEC, Whistleblower Award

Daily Compliance News

July 27, 2022 the Mexico Addressing Corruption edition

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Post date July 27, 2022
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In today’s edition of Daily Compliance News:

Is Mexico finally addressing corruption? (KRWG)
SEC won’t accept restrictions on Chinese audits. (Reuters)
KPMG fined by UK audit watchdog. (WSJ)
Kraken is under investigation for sanctions violations. (NYT)

Tags AMLO, corruption, KPMG, Kraken, Mexico, SEC

Daily Compliance News

July 23, 2022 the Child Labor in Alabama edition

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Post date July 23, 2022
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In today’s edition of Daily Compliance News:
· The US blacklists former Paraguayan President. (Al-Jazeera)
· An Arab Spring for South Africa? (Bloomberg)
· SEC says crypto is unregulated securities. (WaPo)
· Hyundai used child labor in Alabama. (Reuters)

Tags Child Labor, cyrpto, SEC, South Africa

GalloCast

GalloCast-Episode 2

Welcome to the GalloCast. You have heard of the Manningcast in football. Now we have the GalloCast in compliance. The two top brothers in compliance, Nick and Gio Gallo, come together for a free-form exploration of compliance topics. It is a great insight on compliance brought to you by the co-CEOs of ComplianceLine. Fun, witty, and insightful with a dash of the two brothers throughout. It’s like listening to the Brothers Gallo talk compliance at the dinner table. Hosted by Tom Fox, the Voice of Compliance. Topics in this episode include:

How do you incorporate ethics into business growth?
Who are all the stakeholders in and for your organization?
Why is talent acquisition and retention a key element for any business going forward?
How to change an entire culture?
How not to lay off employees.
What are the micro-cultures in your organization, and how to use them to build your ethical muscles
What is the EthicsVerse?
Nick’s Book Challenge.

Resources
Nick Gallo on LinkedIn
Gio Gallo on LinkedIn
ComplianceLine

Tags CCO, Coinbase, compliance, ComplianceLine, Dobbs, EthicsVerse, EY, Gio Gallo, Glencore, layoffs, Leadership, Nick Gallo, SEC

Daily Compliance News

July 15, 2022 the To Die In Texas edition

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Post date July 15, 2022
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In today’s edition of Daily Compliance News:

Using blockchain to disrupt corruption. (CityAM)
SEC is looking into Musk’s actions re: Twitter. (NYT)
Whistleblower protections for reporting aliens. (Politico)
The state of Texas sues to block fed order on abortions to save mother’s lives. (Reuters)

Tags blockchain, corruption, Dobbs, Elon Musk, SEC, whistleblower protection

Daily Compliance News

July 14, 2022 the Bob, Dodge and Weave edition

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Post date July 14, 2022
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In today’s edition of Daily Compliance News:

Snyder continues to dodge the Congressional subpoena. (WSJ)
Yet more corruption in Iran (are you surprised?) (WaPo)
SEC wins gag order ruling, maybe. (Reuters)
What’s $79bn among execs? (BBC)

Tags Dan Snyder, Iran, SEC, WFT

Daily Compliance News

July 13, 2021 the Ruin Your Life edition

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Post date July 13, 2022
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In today’s edition of Daily Compliance News:
·       DOJ moving to prevention in white-collar crime.  (WSJ)
·       Corrupt former Herbalife exec defaults on SEC suit. (WSJ)
·       Corruption will ruin your life. (FCPA Blog)
·       Is the PGA anti-competitive? The DOJ is asking. (NYT)