Oct 24 2019 35 mins
As Tom steadies himself for the Astros to head to Washington and the Nationals home park, he and Jay reflect on some of this week’s top compliance and ethics stories which caught their collective eyes.
1. SEC examiner (allegedly) steals confidential information on company investigation, then leaves SEC to become company’s CCO. Dylan Tokar reports and Matt Kelly opines.
2. What are the data privacy considerations in investigations?
3. Are you looking at your 3rd parties for data protection issues? Adam Hill discusses.
4. What are the stakes for corporate wrongdoers? Dan Portnoy explains.
5. What are 5 common weaknesses in OFAC Compliance programs. Mike Volkov explains.
6. Whats, whys and hows in M&A assessment. Jay starts a new series.
7. Why is understanding behavioral science critical for a compliance programs? Jeff Kaplan dissects it.
8. Why is a speak up culture hard to find. Dick Cassin explains.
9. AI and internal audits. Kevin Alvero and Randy Pierson.
10. Avanir engages in corruption in the US. Not FCPA but FCA violation. Mike Volkov explains.
11. Tom had a great group of top notch podcasts, on the CPN this week. Check out the following lineup: FCPA Compliance Report- Francine McKenna on the KPMG-PCAOB mess; Innovation in Compliance-ReThink Compliance on why content is still king in compliance; #GWIC with Barbara Petitti; 12 O’Clock High– how the leadership of JP Morgan halted the Panic of 1907; Life with GDPR- Brexit and Compliance. The podcast will be available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone, YouTube, Spotify and theCompliance Podcast Network.
Tom Fox is the Compliance Evangelist and can be reached at [email protected]. Jay Rosen is Mr. Monitor and can be reached at [email protected].
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