In today’s edition of Daily Compliance News:
Welcome to the only roundtable podcast in compliance. The entire gang was also recently honored by W3 as a top talk show in podcasting. In this episode, we have the full gang of Jonathan Marks, Karen Woody, Jonathan Armstrong, Tom Fox, Matt Kelly and Jay Rosen. We discuss a potpourri of issues. We conclude with our fan favorite Shout Outs and Rants.
The members of the Everything Compliance are:
The host and producer, ranter (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 Compliance Podcast Network.
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. This week, Matt and Tom return to one of Matt’s favorite topics Elon Musk/Tesla. Some of the issues we consider:
· What happens when a business is lead by a runaway CEO?
· Implications of new SEC investigation.
· State of California investigation into racial discrimination.
· Where has the Board been all this time?
· Will the attitude of the SEC regarding enforcement change?
Resources
Matt in Radical Compliance
In today’s edition of Daily Compliance News:
In today’s edition of Daily Compliance News:
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. This week, Matt and Tom take up two recent academic papers which every compliance practitioner should study as they provide insight about how communications can impact both fraud prevention and compliance. Some of the issues we consider
Resources
Matt in Radical Compliance
Thoughtful evaluation – that’s what Trysha Daskam says about what sets apart Silver Regulatory Associates from other investment firms.
Thoughtful evaluation – that’s what Trysha Daskam says about what sets apart Silver Regulatory Associates from other investment firms.
With her strong foundation in compliance and regulatory expertise, Trysha unpacks the fundamentals, trends, and projections of ESG through the lens of private fund managers.
▶️ Unfolding ESG for Private Investments with Trysha Daskam.
Key points discussed in the episode:
(00:34) Trysha Daskam gives a rundown of her professional background as the managing director and head of ESG strategy in Silver Regulatory Associates.
(01:16) The three distinct services that Silver Regulatory Associates provides and the type of clients they’ve been working with since 2018.
(02:09) The unique ways Silver Regulatory Associates helps firms “shine” in the regulated space. Daskam explains how their firm evaluates managerial decisions through the lens of the investment strategy, putting themselves in their clients’ shoes.
(03:42): ESG programs must be treated with the same cautiousness and prudence as other policies. There should be an emphasis on training members to regulate and execute the program efficiently and properly.
(05:37): Having an ESG program is more than just an idea. Daskam describes how she guides investment firms into putting their strategies to fruition with the correct procedures, monitoring practices, and tools.
(07:28) Different industries are starting to realize the importance of ESG rolling out climate–centered projects and transparent DENI statistics. Financial services are pressured to come into the picture. Daskam predicts 2022 as a hallmark year for regulatory momentum among fund managers.
(09:31) The three key areas of focus for private investment managers in 2022.
(12:44) Greenwashing has become the core of regulatory movements. The U.S. Securities and Exchange Commission sees it as “a major risk in the current marketplace.” The urgent call for established standards to prevent misleading investors with deceptive language continues to intensify.
(14:31) Daskam forecasts a standardization of ESG reporting in the DENI and the FCC in 2022 as two prominent organizations have utilized diversity, equity, and inclusion questionnaires.
(15:54) Fierce competition in the investment space regarding managers putting extra effort in ESG programs and joining meaningful organizations to import outwardly on their climate impact.
(18:08) Comparable data is difficult to find in ESG market participants. But standardization progress is projected for 2022 as the International Finance Reporting Standards Board developed the International Sustainability Standards Board.
(22:38) A more sophisticated marketplace among investment firms is taking place as more players enter to take a slice of the pie.
(25:13) The investment space going into the future.
Trysha Daskam is a seasoned sustainability practitioner with an academic background unique to the industry and manages ESG strategy for investment firms, including the development and implementation of ESG policies, procedures, and internal reporting processes and conducting and overseeing ESG due diligence. Expert in policy writing and implementing regulatory controls, Trysha specializes in interpreting the impact of global regulation on a firm’s ESG program.
Connect: tdaskam@silverreg.com
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Do you have a podcast (or do you want to)? Join the only network dedicated to compliance, risk management, and business ethics, the Compliance Podcast Network. For more information, contact Tom Fox at tfox@tfoxlaw.com.
In today’s edition of Daily Compliance News:
