In today’s edition of Daily Compliance News:
In today’s edition of Daily Compliance News:
In the Episode, I visit with Yvette Lingom, Associate Director, Programming at C5 Communications Ltd. We discuss the opening of the nomination process for C5’s Women in Compliance Awards which are presented annually in conjunction with the Women in Compliance conference put on by the organization. They honor individuals, teams and their companies of all type and size worldwide for the very best initiatives, compliance innovations and enthusiasms to drive the commitment to compliance within their organizations at all times.
Now in their sixth year, these Awards are well-respected accolades bestowed on the compliance industry and those that advise it; and will once again bring together more than 400 compliance professionals from across the globe. Some of our podcast topics include:
--What was the genesis of the Women in Compliance Awards?
--We discuss several of the categories in the awards, including Compliance Officer of the Year for large, medium and small entities; Compliance Innovator of the Year; Compliance Mentor of the Year, Lifetime Achievement Award and several others.
--There are also team awards for various compliance teams which are led by women.
--We discuss the nomination and selection process and the awards ceremony.
--The Women in Compliance awards are presented in conjunction with the Women in Compliance conference put on by C5 at the same time.
To find out more about the Women in Compliance Awards and (hopefully) nominate someone, click here.
To find out more about the Women in Compliance, to be held in London on March 27-28, 2019, click here.
The Boston Red Sox thrash the LA Dodgers in the first two games of the World Series. Will they sweep the NL champs? The New England Patriots are back on top of their division. Is Jay heading for a fall? The lads regroup after the 2018 SCCE, Compliance and Ethics Institute to look at some of the week’s top compliance and ethics stories.
For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.
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. In this episode, Matt Kelly and I take a deep dive the upcoming Navex Global Virtual Conference, which is scheduled for Thursday, November 8.
Some of the highlights from this podcast are:
For registration and agenda go to Navex Global.
Full disclosure: Matt and myself both write for Navex Global.
In the Episode, I visit with Dave Lefort, the Editor in Chief of Compliance Week. We visit on Dave’s route as a journalist and online sports leader to compliance. We discuss some of his new initiatives at Compliance Week and the upcoming Compliance Week virtual open House. Some of the highlights include:
--How Dave’s work at ESPN as part of the company’s efforts to bring a greater, more robust and personalized online experience to the sports fan have informed some of his approaches to his editorship of Compliance Week.
--One of the changes Lefort has led is moving the Compliance Week magazine to a bi-monthly issue schedule, allowing a deeper dive through special report. In this most recent issue, there is a deep dive look at technological solutions in compliance. We discuss some of the key themes and articles in this issue.
--Compliance Week is hosting a virtual Open House from October 22-26, allowing non-subscribers to get behind the firewall to check out some of the great context available in blogs, articles, magazines, podcasts and editorial pieces. It is a great opportunity to see what Compliance Week has to offer to you.
To check out the free offer of the Compliance Week Open House, check out the Compliance Week website here.
The Boston Red Sox storm into the World Series after defeating the Houston Astros in the ALCS. Will the team with the best record in baseball take home the trophy this year? Jay and Tom (well really just Jay) hit the highlights from the Sox 4-1 shellacking of Houston. Tom takes his medicine as they take a look at some of the week’s top compliance and ethics stories.
For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.
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. In this episode, Matt Kelly and I take a deep dive into the Benczkowski Memo and what it means for not only the monitor selection process but for compliance officers who may be in front of the Justice Department in a FCPA investigation.
Some of the highlights from this podcast are:
We unpack of all these points and consider strategies going forward.
For more reading: see Matt’s piece New DOJ Policy on Corporate Monitors and see Tom’s blog posts Astros Heading to Back-to-Back as DOJ Announces New Monitor Policy and Back-to-Back (again): More on the Benczkowski Memo.
In the Episode, I visit with Eric Feldman, Senior Vice President at Affiliated Monitors, Inc. Eric and I discuss some of your reflections, observations and highlights from the Converge18 conference with recently concluded in Denver. Some of the highlights include:
--The conference focused on the action piece of what compliance professionals need to accomplish.
--A key theme which literally began on the first keynote on the first day, from Patrick Quinlan, CEO of Convercent was organizational justice. Feldman believes that this is not enough discussed at compliance conferences as it serves as a foundation for credibility of senior leadership in an organization and helps drive a strong ethical culture throughout a company.
--Another interesting concept discussed by Feldman and myself was brand reputation and brand protection, another key theme at the conference. General Counsel and legal departments are tasked with brand protection but in this case of hyper-social media, that strategy may well lead to loss of brand reputation. A compliance professional should work to enhance brand reputation and move your brand forward, not simply circle the wagons.
For other reviews of Converge18 see Tom Fox’s blog post on the FCPA Compliance and Ethics Blog, Reflections on Converge18and Matt Kelly’s blog post on Radical Compliance Dispatches from Converge 2018.
The reigning World Series Champions, the Houston Astros storm into the ALCS with a sweep of Cleveland. The team with the best record in baseball, the Boston Red Sox destroy the Yankees. The ALCS opens Saturday in Boston and comes to Houston Tuesday. Will the top podcasting duo in compliance survive? Also, Tom and Jay discuss and take a look at some of the week’s top compliance and ethics stories.
SCCE 2018 CEI sessions with AMI folks:
509 Decades to Build, Seconds to Destroy: Proactive Compliance On Your Own Terms to Avoid or Mitigate An Enforcement Action
Tuesday, 11:00 am – 12:00 pm
Eric Feldman, Senior VP and Managing Director, Corporate Ethics and Compliance Programs, Affiliated Monitors and Thomas Topolski, Executive Vice President, Turner & Townsend
–– Learn how proactive assessment and remediation
measures are less costly and more effective than more
potentially restrictive compliance responses.
–– Determine how company actions prior to, during, and
after an ethical crisis can help determine the severity of
fines, penalties and required remediation.
–– Explore the value of “proactive monitoring” to help
strengthen organizational culture, identify and manage
potential vulnerabilities, and establish credibility
AD11 Secrets from In-house Ethics & Compliance Buyers: How to Keep the Gate and Your Sanity
Tuesday, 1:00 –2:00 pm
Jay Rosen, VP, Business Development and Monitoring
Specialist, Affiliated Monitors, Inc.
– Learn how to manage your vendor relationships to maximize their value proposition and minimize persistent and time consuming sales pitches.
– Vendors believe they can make a buyer’s life easier, but they must listen for “buying or non-buying” cues and modulate their contact proportionately.
– While SCCE believes that tomorrow’s solutions for today’s E&C issues will come from the vendor community, in-house clients respond to authentic vendor relationships as they can easily separate salesy features from those colleagues who really care.
For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.
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. In this episode, Matt Kelly and I take a deep dive into the continuing saga of Elon Musk, the SEC settlement, corporate governance at Tesla and his ongoing twitter feed.
Some of the highlights from this podcast are:
We unpack of all these points and consider strategies going forward.
For more reading: see Matt’s piece The Many Lessons of Elon Muskand see Tom’s blog post Best Practices (Or Not)
In the Episode, I visit with one of the top outside counsel in field of FCPA and compliance. It is Stephen Martin, a partner at Arnold & Porter. In this episode we deconstruct the Petrobras FCPA enforcement action. Some of the highlights include:
The Petrobras FCPA enforcement action came in the form of a Non-Prosecution Agreement (NPA) with the Department of Justice (DOJ) and Cease and Desist Order (Order) with the Securities and Exchange Commission (SEC).
The baseball playoffs are here. For the Sox, the hated Yankees. For the Astros, they begin their World Series defense against the Cleveland Indians. Tom and Jay discuss and take a look at some of the week’s top compliance and ethics stories.
For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.
Welcome to the only roundtable podcast in compliance. This week’s episode is entirely dedicated to the spectacle of the Ford-Kavanaugh hearings from the past week. Jonathan Armstrong is on assignment so Tom Fox sits in for Armstrong. After the commentary we follow with rants.
The members of the Everything Compliance panelist are:
The host and producer (and sometime panelist) of Everything Compliance is Tom Fox the Compliance Evangelist.
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. In this episode, Matt Kelly and I take a very deep dive into the increased prevalence of non-GAAP financial reporting.
Some of the highlights from this podcast are:
We unpack of all these points and consider strategies going forward.
For more reading: see Matt’s piece Non-GAAP Reporting, Popular as Ever
As the administration goes bonkers on the Kavanaugh nomination and the Rosenstein he’s out/he’s in drama, Tom and Jay consider 100+ wins for the Sox and ‘Stros and take a look at some of the week’s top compliance and ethics stories.
Both the Astros and Red Sox have over 100 wins. Who will come out on top this year? Tom and Jay are back to tackle the week's top ethics and compliance stories on This Week in FCPA.
For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.
In this very special 400thanniversary episode, I visit with Ben Reiter, the author of Astroball—The New Way to Win It All. In addition to discussing perhaps one of my favorite topics of all time-the Houston Astros winning the 2017 World Series (have I mentioned that before?), Reiter and I take a deep dive into his book. In it he discusses how the Astros mastered the use of data and data analytics and then married those skills into data science with the soft skills of traditional baseball scouting to create the winning team in 2017. The Astros experience, Reiter’s book and our discussion directly apply to the compliance professional and the use of data and data science in an operationalized, best practices compliance program. Some of the discussion highlights include:
To purchase a copy of Reiter’s book, Astroball, click here.
In this episode, I visit with podcast favorite Matt Ellis, a member at Miller & Chevalier on the firm’s always excellent FCPA Summer Review 2018. The first half of 2018 has brought some very interesting FCPA enforcement actions, packed with lots of information for the compliance practitioner. We unpack the key enforcement actions, international developments and some key statistics. Some of the discussion highlights include:
To download a copy of Miller & Chevalier’s FCPA Summer Review 2018, click here.
As Hurricane Florence has made landfall onto the Carolinas and beyond, Hurricane Issac is hurtling towards the Gulf of Mexico and Storm X is taking aim at Texas, Tom and Jay are back with a look at some of the week’s top compliance and ethics stories.
For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.
Welcome to the only roundtable podcast in compliance. Inspired by our UK colleague, Jonathan Armstrong who inquired if we could explore the guilty plea of Michael Cohen and the guilty verdict against Paul Manafort, we dedicate the next two episodes to issues surrounding, raised by or related to these two events. In this episode we have commentary by Jay Rosen and Jonathan Armstrong (last week was Mike Volkov and Matt Kelly). After the commentary we follow with rants.
The members of the Everything Compliance panelist are:
The host and producer (and sometime panelist) of Everything Compliance is Tom Fox the Compliance Evangelist.
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. In this episode, Matt Kelly and I take a very deep dive into the recent SEC whistleblower award of $54MM to two separate individuals.
Some of the highlights from this podcast are:
We unpack of all these points and consider strategies going forward.
For more reading: see Matt’s piece $54M SEC Whistleblower Award
In this episode, I visit with podcast fan favorite Laura Perkins, a partner at Hughes, Hubbard and Reed. We discuss the recent 2ndCircuit Court of Appeals decision in the Hoskins matter. With Laura’s background as a former Justice Department prosecutor in the FCPA Unit, she brings a wealth of knowledge to what the decision may portend for the prosecution of FCPA cases going forward and how may impact corporate compliance programs as well. Some of the discussion highlights include:
For a copy of the Hoskins opinion, click here.
As the Houston Texans head to Boston for the NFL Season Opener and the Houston Astros head to Boston for a preview of the ALCS , Tom and Jay are back with a look at some of the week’s top compliance and ethics stories.
For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.
Welcome to Everything Compliance, the only roundtable podcast in compliance. Inspired by our UK colleague, Jonathan Armstrong who inquired if we could explore the guilty plea of Michael Cohen and the guilty verdict against Paul Manafort, we dedicate the next two episodes to issues surrounding, raised by or related to these two events. In this episode we have Mike Volkov and Matt Kelly. Next week Jay Rosen and Jonathan Armstrong. After the commentary we follow with rants.
The members of the Everything Compliance panelist are:
The host and producer (and sometime panelist) of Everything Compliance is Tom Fox the Compliance Evangelist.
In this episode, I chat with Erica Salmon Byrne, the EVP and Executive Director of Business Ethics Leadership Alliance for Ethisphere. We visit on Ethisphere’s 2018 World’s Most Ethical Company awards. Since 2007, Ethisphere has honored those companies who recognize their critical role to influence and drive positive change in the business community and societies around the world and work to maximize their impact wherever possible. The 2018 awards were no exceptions, with the designation going to 135 companies spanning 23 countries and 57 industries. We explore some of the following and much more.
To read the Ethisphere Research Report Leading Practices and Trends from the 2018 World’s Most Ethical Companies® click here.