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Day 15 of 30 Days to a Better Compliance Program-Post Training Evaluation [Video]

What if you want to take you post-training analysis to a higher level and begin to consider the effectiveness through your return on investment (ROI)? Joel Smith, the founder of Inhouse Owl, a training services provider,...more

This Week in FCPA-Episode 35-the Friday the 13th edition [Video]

Show Notes for Episode 35, week ending January 13, the Friday the 13th edition   1.       Hernandez and Beech FCPA guilty pleas. 2.       VW guilty plea in emissions-testing scandal. 3.       VW executive Oliver...more

Day 13 of 30 Days to a Better Compliance Program, create a data action plan [Video]

You should work to create an action plan to use your data. But never forget you need to get your digital information right. That means several sources of data to help you choose the best course of action. Earlier this year,...more

Day 12 of 30 Days to a Better Compliance Program, creating a culture of data in compliance [Video]

You should work to create a culture of data in your compliance program. This comes from an understanding that data is a product, which you can consume internally in the compliance function. Your data is a corporate asset so...more

DIFC to Launch FinTech Hive

The Dubai International Financial Center (DIFC) is set to launch the FinTech Hive—an accelerator program for developing financial technology (fintech) start-ups and entrepreneurs—in the first quarter of 2017. The FinTech Hive...more

Compliance into the Weeds-Episode 24 [Video]

In this episode Matt Kelly and myself take a deep dive into the compliance weeds by looking at a paper written by then SEC General Counsel James Doty (later head of the PCAOB) in 2007 where he proposes a regulatory scheme for...more

Day 10 of 30 Days to a Better Compliance Program, Mergers and Acquisitions [Video]

A company that does not perform adequate due diligence prior to a merger or acquisition may face both legal and business risks. Perhaps, most commonly, inadequate due diligence can allow a course of bribery to continue - with...more

Day 8 of 30 Days to a Better Compliance Program, Reporting and Investigations [Video]

The FCPA Guidance has about as clear, concise and short a statement about hotlines than any other Tenet of an Effective Compliance Program. It states, “An effective compliance program should include a mechanism for an...more

Day 7 of 30 Days to a Better Compliance Program, Third Parties [Video]

Day 7- Third-Parties There are five steps in the life cycle of third party management. 1. Business Justification and Business Sponsor; 2. Questionnaire to Third Party; 3. Due Diligence on Third Party; 4. Compliance...more

This Week in FCPA-Episode 34-the Invisible Hand edition [Video]

In this episode Jay Rosen and I take a dive into the General Cable FCPA enforcement action, consider the 'Invisible Hand' of Justice Department Compliance Counsel Hui Chen and greater regulatory enforcement, corporate...more

Day 6 of 30 Days to a Better Compliance Program, Carrots and Sticks [Video]

The FCPA Guidance states, that “In addition to evaluating the design and implementa­tion of a compliance program throughout an organization, enforcement of that program is fundamental to its effec­tiveness. A compliance...more

Day 5 of 30 Days to a Better Compliance Program, Communications and Training [Video]

Welcome to Day 5 of 30 Days to a Better Compliance Program. Today, I focus on training, ongoing communications and the use of social media in a best practices compliance program. Training The communication of your...more

Compliance into the Weeds-Episode 23, Six Compliance Issues to Consider in 2017 [Video]

In this episode, Matt Kelly and I consider six compliance-related issues every compliance practitioner should watch in 2017. ...more

Day 4 of 30 Days to a Better Compliance Program, Risk Assessments [Video]

Welcome to Day 4 of 30 Days to a Better Compliance Program. Today we tackle risk assessments. One cannot really say enough about risk assessments in the context of anti-corruption programs. The FCPA Guidance stated it...more

Day 3 of 30 Days to a Better Compliance Program, the CCO [Video]

Welcome to Day 3 of 30 Days to a Better Compliance Program. Today I want to consider the Chief Compliance Officer (CCO) in your organization, through three prisms: access, resources and opportunities. Access What...more

Day 2 of 30 Days to a Better Compliance Program, Written Protocols [Video]

Welcome to Day 2 of 30 Days to a Better Compliance Program. Today I consider written protocols, which are the foundation upon which an effective compliance program is built. Written protocols consist of a Code of Conduct,...more

All About Blockchain - Top 10 Blockchain Reads in 2016

A JD Supra list of the top reads on Blockchain matters in 2016....more

Financial Regulatory Developments Focus - December 2016

In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Unfair and Unbalanced-Episode 14 [Video]

In this episode SCCE CEO Roy Snell and I continue are exploration of issues of import to the compliance profession. We consider the penalty assessed by the NCAA on Notre Dame for it use of two ineligible football players and...more

Compliance into the Weeds-Episode 22, United Airlines SEC enforcement action [Video]

In this episode Matt Kelly and I take deep dive into the United Airlines SEC enforcement action for violation of internal controls around its reinstitution of a route from Newark to South Carolina at the insistence of the...more

In Case You Missed It: Launch Links - December, 2016

Some interesting links we found across the web this week: 7 Lessons for Founders on How to Stick Your Neck Out - Successful entrepreneurs know how to stick their necks out without losing their heads....more

How fintech deals are reshaping financial services

As fintech takes a prominent role in the financial services industry, major institutions are looking to capitalise on innovation by working with the most ambitious and brightest startups. In much the same way that...more

This Week in FCPA-Episode 32-the not so friendly skies edition [Video]

Show Notes for Episode 32, week ending December 9: 1. United Airlines SEC enforcement action for domestic; the Chairman’s Flight and the US Corrupt Practices Act. 2. Monetary Authority of Singapore seeks to suspend former...more

This Week in FCPA-Episode 31, the Government Speaks edition [Video]

Show Notes for Episode 31, week ending December 2, 2016-the Government Speaks edition 1. Justice Department Assistant Attorney General Sally Yates remarks at 33rd annual ACI National FCPA Conference; 2. Head of SEC...more

Blog: SEC posts report to Congress on Modernization and Simplification of Regulation S-K

The SEC has posted the staff’s Report on Modernization and Simplification of Regulation S-K, a report to Congress required by the FAST Act. Although required by the FAST Act, this report builds on and reflects the review that...more

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