Tag: SFO

10 For 10: Top Compliance Stories For The Week Ending April 27, 2024

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Post date April 27, 2024
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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.

A former SNC Lavalin exec sentenced to 3 years on corruption charges. (Financial Post)
Trade sanctions in PdVSA-related case. (WSJ)
McKinsey is under criminal investigation for opioid work. (NYT)
A Deputy Russian Defense Minister was arrested on corruption charges. (CNN)
South Africa ups pressure on the UAE to extradite Guptas. (Bloomberg)
DOJ wants a 3-year prison term for the former Binance CEO. (Bloomberg)
SFO to review cases after software problems. (FT)
FTC bans non-competes. (FTC Press Release)
Real-Estate Agents, Investment Advisers Chafe at the New Anti-Money-Laundering Rules. (WSJ)
Boeing families want criminal charges filed. (France24)

For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

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

Connect with Tom

Tags Boeing, Corruption in Russian Military, DOJ, Gupta Brothers, PdVSA, SFO, SNC-Lavalin, South Africa

Daily Compliance News

Daily Compliance News: April 22, 2024 – The Bad SW Edition

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Post date April 22, 2024
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Each day, we consider four stories from the business world: compliance, ethics, risk management, leadership, or general interest for the compliance professional.

In today’s edition of Daily Compliance News:

Rest, HSE and culture. (New York Times)
SFO to review cases after software problems. (Financial Times)
Real Estate agents don’t want to help fight money-laundering. (Wall Street Journal)
Thai company fined over Iranian sanctions violations. (Wall Street Journal)

For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

Tags AML, HSE, Iranian sanctions, SFO, trade sanctions

10 For 10

10 For 10: Top Compliance Stories For The Week Ending March 9, 2024

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Post date March 9, 2024
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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.

The DOJ announces a whistleblower program. (WSJ)
More from DAG Monaco. Changes to ECCP regarding AI. (Compliance Week)
The NYT asks for Boeing whistleblowers. (NYT)
Forced labor and Porsches. (WSJ)
The SEC approves weakened climate change rules. (NYT)
Bribery acquittal in London. (F T)
The CTA ruled it unconstitutional. (NYT)
Senator Menendez, a co-defendant, pleads guilty. (CNBC)
Ethisphere announces the World’s Most Ethical Company Awards. (Press Release)
Gunvor is to pay $661 million for FCPA violations. (WSJ)

For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

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

Connect with Tom:

Tags corruption, CTA, DAG Lisa Monaco, DOJ, ethics premium, Ethisphere, FCPA, Gunvor, SEC, Senator Robert Menendez, SFO, whistleblower

Daily Compliance News

Daily Compliance News: March 7, 2024 – The Forced Labor Slow Porsche Edition

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Post date March 7, 2024
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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 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.

In today’s edition of Daily Compliance News:

Forced labor and Porsches. (WSJ)
Bribery acquittal in London. (FT)
The SEC approves weakened climate reporting rules. (NYT)
The Hotel California criminal trial was dismissed. (Bloomberg)

For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

Tags bribery, Climate reporting rules, Forced Labor, SEC, SFO, UFLPA

Daily Compliance News

Daily Compliance News: March 6, 2024 – The Another FIFA Corruption Trial Edition

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Post date March 6, 2024
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In today’s edition of Daily Compliance News:

Yet another FIFA-related corruption trial. (FT)
A multi-billion-dollar fraud trial begins in Vietnam. (Reuters)
Menendez search warrants are constitutional. (AP)
Mike Lynch settles a data privacy suit against the SFO. (Bloomberg)

For more information on the Ethico ROI Calculator and a free White paper on the ROI of Compliance, click here.

Tags corruption, FIFA, fraud, Mike Lynch, Senator Robert Menendez, SFO

Everything Compliance

Everything Compliance – Episode 129, The Tribute to Navalny Edition

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Post date February 22, 2024
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Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have the quintet of Jonathan Armstrong, Jonathan Marks, Matt Kelly, Karen Woody, and Jay Rosen, all hosted by Tom Fox.

Jonathan Armstrong talks about the most recent speech by the new SFO director. He rants about Julian Assange’s inane claims to be a journalist.
Matt Kelly discusses the regulation of AI and looks at the new DFS regs around it. He shouts out to Alexei Navalny, who was murdered for his fight against corruption in Russia.
Karen Woody takes a deep dive into the Panuwat trial and the concept of shadow insider trading. She rants about the senseless gun culture in America.
Jonathan Marks discusses the state criminal charges in the FirstEnergy corruption scandal but then evolves into an epic rant, which he continues in Shout Outs and Rants about failures in corporate governance, internal controls, and gun violence in America. He really outdid himself this week.
Jay Rosen looks at the dearth of DOJ-mandated monitorships and proposes a new concept, the self-monitorship. He shouts out the movie Love on the Spectrum and the Bill Bradley interview.
Tom Fox shouts out to Ben Affleck for his DunKing Super Bowl commercial.

The members of the Everything Compliance are:

• Jay Rosen: Jay can be reached at Jay.r.rosen@gmail.com

• Karen Woody is one of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu

• Matt Kelly, founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com

• Jonathan Armstrong is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com

• Jonathan Marks can be reached at jtmarks@gmail.com.

The host, producer, ranter (and sometimes 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.

Tags AI, DFS, FirstEnergy, SEC, SFO, Shadow Insider Trading

Everything Compliance

Everything Compliance – Episode 128, The Frozen Edition

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Post date February 1, 2024
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Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have the quartet of Jonathan Armstrong, Matt Kelly, Karen Woody, and Jay Rosen, all hosted by Tom Fox, joining us on this episode to discuss some of the topics they are watching during this extended cold spell across the US.

1. Matt Kelly looks at the tale of two companies, eBay and SAP, and the disparity in whether monitorships were mandated. He shouts out to Saul Dreier and the Holocaust Survivors Band, who recently played a gig at the White House.

2. Tom Fox shouts out to Sir Elton John for winning an Emmy, thus becoming only the 18th person to hold the prestigious EGOT designation.

3. Jonathan Armstrong looks at the new SFO director and his new focus for the beleaguered agency. He shouts out to Nick Rossi (or whatever name he is using) and his 16 aliases.

4. Jay Rosen takes a deep dive into the SAP Foreign Corrupt Practices Act enforcement action. He shouts out to the Cara Cara naval oranges.

5. Karen Woody looks at the Segway shareholder case and its duty of oversight analysis for an officer. She shouts out to all the folks in Indiana who work and fix things during a deep freeze and those manning homeless shelters.

The members of the Everything Compliance are:

Jay Rosen is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com
Karen Woody is one of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu
Matt Kelly is the Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com
Jonathan Armstrong is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com
Jonathan Marks can be reached at jtmarks@gmail.com.

Tags Caremark, DOJ, eBay, FCPA, monitorships, SAP, Segway, SFO

10 For 10

10 For 10: Top Compliance Stories For the Week Ending October 14, 2023

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Post date October 14, 2023
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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.

Connect with Tom

Tags 1MDB, carbon emissions, CCOs, crypto, FTX, Jes Staley, Roger Ng, SBF, SFO

Daily Compliance News

Daily Compliance News: October 9, 2023 – The When Safety Isn’t No. 1 Edition

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Post date October 9, 2023
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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:

Company inaction allegedly led to 7 worker deaths. (NYT)
SFO brings corruption charges. (FT)
Lineup of Elon Musk legal woes. (Reuters)
MAGA nuts aside, companies want to be inclusive. (Bloomberg)

Tags corruption, DE&I, Elon Musk, safety, SFO

10 For 10

10 For 10: Top Compliance Stories For the Week Ending August 26, 2023

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Post date August 26, 2023
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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.