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Everything Compliance-Episode 14

by Thomas Fox on

Show Notes for Everything Compliance-Episode 14 Topics from Matt: 1.Trump Administration & FCPA enforcement— we have two declinations now; maybe a compare-and-contrast, and speculation on what a tough Trump Admin...more

Day 12 of One Month to More Effective Internal Controls-Board Oversight as an Internal Control

by Thomas Fox on

Is a Board of Directors a compliance internal control? I think the clear answer is yes. In the FCPA Guidance, in the Ten Hallmarks of an Effective Compliance Program, there are two specific references to the obligations of a...more

Gift Card Class Action Settles

by Klein Moynihan Turco LLP on

SoulCycle, Inc. (“SoulCycle”) has agreed to pay up to $9.2 million to settle a gift card class action lawsuit in California. What were the allegations of wrongdoing against SoulCycle and what are the terms of settlement?...more

COMPLIANCE INTO THE WEEDS-EPISODE 46-THE POTTED PLANT EDITION

by Thomas Fox on

In this episode, Matt Kelly and I discuss the recent Second Circuit Court of Appeals decision in HSBC v. Moore. In this case a federal district court had ordered the release of redacted monitor’s report in the HSBC...more

Day 11 of One Month to More Effective Internal Controls-Internal Controls for Gifts, Travel and Entertainment

by Thomas Fox on

It is reasonable to expect that internal controls over gifts, travel and entertainment (GTE) be designed to ensure that all satisfy the criteria as defined in company policies. Generally speaking, these are fairly narrow,...more

FCPA Compliance Report-Episode 342, Melanie Johnson

by Thomas Fox on

In this episode, I visit with Melanie Johnson, co-founder of Elite Online Publishing, which aids entrepreneurs, business leaders, and professional athletes to create, publish, and market their books, to build their business...more

Day 9 of One Month to More Effective Internal Controls-Mapping Your Compliance Internal Controls

by Thomas Fox on

As they made clear with several FCPA enforcement actions in 2016, the SEC has placed a renewed interest in the accounting provisions of the FCPA, specifically the internal controls provisions. The BHP enforcement continued...more

This Week in FCPA-Episode 61, for the week ending July 14, the Summer in the City Edition

by Thomas Fox on

This week, Jay and I return for a wide-ranging discussion on some of the week’s top compliance and ethics related stories, including: 1. HSBC monitor report protected from release. 2. The Odebrecht scandal continues to...more

Day 8 of One Month to More Effective Internal Controls-What is a Gap Analysis?

by Thomas Fox on

A gap analysis is a method of assessing the differences in performance between a business' internal controls to determine whether business requirements are being met and, if not, what steps should be taken to ensure they are...more

Compliance Report-International Edition-Carlos Ayers on Tropicalizing Your Compliance Program

by Thomas Fox on

In this episode I visit with Carlos Ayers on steps you can take to make your compliance program more effective to employees in Latin America. This includes such things are localizing your training and presentations,...more

Day 7 of One Month to More Effective Internal Controls-Implementing Internal Controls

by Thomas Fox on

Today, I consider some ways in which a compliance professional can work to implement internal controls in a multi-national organization. The first step is to convert your company’s compliance risks into internal control...more

Why Energy Companies Will Be Major Users of Blockchain Technology

by Steptoe & Johnson PLLC on

Dan Nossa recently attended a conference at Rice University focused on blockchain technology. It was a first of its kind for the city and one of the things the attorney at Steptoe & Johnson PLLC’s Houston office noted was the...more

OCC Releases Semiannual Risk Perspective: Fintech is Risky?

by Morrison & Foerster LLP on

On July 7, 2017, the Office of the Comptroller of the Currency (“OCC”) released its Semiannual Risk Perspective report (the “Report”) identifying the risks faced by national banks and federal savings associations in the ...more

Delaware’s Blockchain Initiative to Revolutionize the Stock Trade

by Goodwin on

With the near unanimous passing of a bill that will explicitly recognize the right to trade stocks using a blockchain, Delaware is making a strong case for it being the blockchain-friendliest state. The Delaware Senate...more

Day 5 of One Month to More Effective Internal Controls-Assessing for Internal Controls in International Operations

by Thomas Fox on

Today, I want to discuss how to assess for your internal controls regime for international operations. It is incumbent that you need to review as much information so you can to understand the financial and operational...more

COMPLIANCE INTO THE WEEDS-EPISODE 45, THE UNDESERVED PRIVILEGE EDITION

by Thomas Fox on

In this episode, Matt Kelly and I take a deep dive into the 4th of July weekend use of the New Jersey beaches by Governor Chris Christie. Governor Christie had closed the beaches in a budget dispute but was still able, as...more

Corporate and Financial Weekly Digest - Volume XII, Issue 26

SEC/CORPORATE - SEC Expands Nonpublic Review of Draft Registration Statements - On June 29, the Division of Corporation Finance (Division) of the Securities and Exchange Commission announced that, beginning on July 10,...more

Day 4 of One Month to More Effective Internal Controls-Internal Controls in International Locations

by Thomas Fox on

Next, I want to consider some of the issues around internal controls outside the US and why your company’s internal controls might require changes for different countries across the globe. However, this provides an...more

FCPA Compliance Report-Episode 341, Brian Alster on the Problem of Beneficial Ownership

by Thomas Fox on

The issue of beneficial ownership is one which still bedevils many compliance professionals. Today, I visit with Brian Alster, Dun & Bradstreet’s Global Head of Supply and Compliance about the problem this issue continues to...more

This Week in FCPA-Episode 60, the All-Star Weekend Edition

by Thomas Fox on

This week, Jay and I return for a wide-ranging discussion on some of the week’s top compliance related stories, including:   1. U.S. charges top Colombia anti-graft prosecutor with money laundering. 2. US Supreme Court may...more

FCPA COMPLIANCE REPORT-EPISODE 340, PATRICK HENZ, AUTHOR OF ACCESS GRANTED

by Thomas Fox on

In this episode, I visit with Patrick Henz, a compliance practitioner and author of Access Granted: Tomorrow’s Business Ethics. Henz has written one of the most fascinating books on compliance going forward into the future...more

Day 2 of One Month to More Effective Internal Controls

by Thomas Fox on

Today, New York Times columnist David Brooks’ thoughts on building and maintaining order inform our discussion on internal controls. In the area of internal controls, I believe it is incumbent to consider not only the most...more

FinTech Lenders on Notice: Congressman Launches Investigation into FinTech Lending

Rep. Emanuel Cleaver II has begun an investigation into small business financial technology (FinTech) lending, expressing concern that “some FinTech lenders may be trapping small business owners in cycles of debt or charging...more

FCPA COMPLIANCE REPORT-EPISODE 339, ED BUTHUSIEM OF BRG ON THE BUSINESS TRANSFORMATION OF COMPLIANCE

by Thomas Fox on

In this episode, I visit with Ed Buthusiem, with BRG Business Transformation. BRG partners with companies and their stakeholders to deliver sustainable results with speed and transparency through a data-driven and expert-led...more

This Week in FCPA-Episode 59, the Holiday Edition

by Thomas Fox on

In this week which starts the 4th of July holiday weekend, Jay and I return for a wide-ranging discussion on some of the week’s top compliance related stories, including: 1. The second Declination of the Session’s Justice...more

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