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Day 18 of One Month to a Operationalizing Your Compliance Program-Through Management of 3rd Party Relationships [Video]

The Department of Justice Evaluation of Corporate Compliance Programs states, in Prong 10, Third Party Relationships: Management of Relationships – How has the company considered and analyzed the third party’s incentive...more

Your Daily Dose of Financial News

Eddie Lampert’s Sears mega-gamble appears to finally be catching up with him. Or the store, at least. Mr. Lampert, it seems, will come out not as worse for the wear as one might have expected....more

Everything Compliance-Episode 9, DOJ Evaluation of Corporate Compliance Programs, Part II [Video]

This episode is dedicated to the Justice Department’s Evaluation of Corporate Compliance Programs, which was released in February. In this episode, Jay Rosen and Jonathan Armstrong provide next insight. Listen to last week’s...more

FCPA Compliance Report-Episode 316-Kristy Grant-Hart & a debate on ISO 37001 Certification [Video]

In this episode Kristy Grant-Hart, author of How to be a Wildly Successful Compliance Officer, joins me to debate the merits of the ISO 37001 certification. I think the process is worse than useless while Kristy believes it...more

FCPA Compliance Report-Episode 317-Susan Divers on LRN 2016 Compliance Program Effectiveness Report [Video]

In this episode, I visit with Susan Divers on the recently released LRN Ethics and Compliance Program effectiveness report. ...more

Compliance Report-International Edition, Carlos Ayres [Video]

In this episode i visit with Brazilian compliance practitioner Carlos Ayres on recent developments in Brazil and South America in the ongoing fight against bribery and corruption....more

Infrastructure M&A: Journey to the non-core: Six steps to non-core infrastructure success

Infrastructure funds are increasing their capital allocations to non-core sectors, although in doing so they will need to take on increased risk and operate outside an established regulatory environment. There are six steps...more

This Week in FCPA-Episode 44-the St. Patrick's Day Edition [Video]

In this episode, Jay and I have a wide-ranging discussion on the intersection of culture and ethics. We discuss: 1. German authorities raid at VW investigation counsel, Jones Day, offices in Germany and what it may portend...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - House Committee on Financial Services Comments on OCC Fintech Charter - All 34 Republican members of the Financial Services Committee of the U.S. House of Representatives, including...more

Everything Compliance-Episode 8, DOJ Evaluation of Corporate Compliance Programs, Part I [Video]

This episode is dedicated to the Justice Department’s Evaluation of Corporate Compliance Programs, which was released in February. In this episode, Matt Kelly and Mike Volkov provide next insight. Next week will be views from...more

European Commission Publishes Speech on FinTech

On March 8, 2017, the European Commission (EC) published a speech that considered the challenges currently faced by the financial services sector in the EU, with a particular emphasis on FinTech. Financial technology,...more

Day 11 of One Month Operationalizing Your Compliance Program-Internal Control Objectives [Video]

Today I explore in some detail the first Objective in the COSO 2013 Framework-the Control Environment as a path to operationalize your compliance program. This Objective lays out five steps you can take to put the...more

Compliance into the Weeds-Episode 32 [Video]

In this episode, Matt Kelly and I take a deep dive into a dramatic 48 hours in the life of the FCPA last week, which portends the trend of continued FCPA enforcement. It included the announcement by Kevin Blanco, acting...more

Italy Imposes Record Data Protection Fines

On March 10, Italy’s data protection authority, Il Garante per la protezione dei dati personali (the “Garante”), announced that it had ordered fines totaling more than €11 million on five companies operating in the money...more

FCPA Compliance Report-Episode 315-James Koukios [Video]

In this episode, I visit with Morrison & Forrester partner James Koukios on the firm's January issue of the top global anti-corruption storylines. ...more

Day 10 of One Month to Operationalizing Your Compliance Program-the Role of Payroll in Compliance  [Video]

The role of global payroll in FCPA compliance is not often considered in operationalizing your compliance program, yet the monies to fund bribes in violation of the FCPA must come from somewhere. Unfortunately, one of those...more

Your Daily Dose of Financial News

Another tech-related disappointment for the Winklevii, this time with ramifications for an entire means of payment, as the SEC has rejected an application by the brothers to create an ETF tied to the price of bitcoin....more

Six FinTech Predictions for 2017

Last year proved a turbulent year for the FinTech sector. Although the industry continued to boom, the Brexit vote and the election of Donald Trump seem to have caused many investors to pause and reconsider investing in...more

FCPA Compliance Report-Episode 314-John Champion on 50th Anniversary of Star Trek [Video]

In this episode, I have back John Champion, one-half of the podcast duo going through every Star Trek TV episode and movie at missionlogpodcast.com. Today, I visit with John on his reflections on the 50th anniversary of Star...more

Day 9 of One Month to Operationalizing Your Compliance Program-Connected Compliance [Video]

If there is one over-riding theme from the recently released Evaluation of Corporate Compliance programs it is that a corporate compliance program must be operationalized. Indeed that is the theme of this month’s series of...more

Your Daily Dose of Financial News

There’s been a bit of a stir in the paint world, with Dutch firm Akzo Nobel rejecting a takeover bid from PPG Industries valued at $22 billion. In a statement, Akzo claimed that the offer “substantially undervalues” the...more

News Round Up - March 2017

Changes Afoot? - President Trump has issued a number of orders that have as their aim reducing regulatory burdens. For example, there is the January 30, 2017 “two for one” order, which contemplates that, for each new rule...more

Blockchain - a revolution for the insurance sector with some risks

Blockchain is “the most important invention since the Internet itself” according to Marc Andreessen. And there is no doubt that there are huge potentials for the insurance sector to exploit such technology, but as any new...more

Day 7 of One Month to Operationalizing Your Compliance Program-Risk Based Monitoring [Video]

I continue my discussion of operationalizing your compliance program through the risk management process by considering risk-based monitoring. I continue this series based upon interviews with Ben Locwin, Director of Global...more

FCPA Compliance Report-Episode 313-Adam Davidson on Donald Trump's Worst Deal [Video]

In this episode, I visit with New Yorker reporter Adam Davidson, who penned an article in the New Yorker which looked at a hotel deal between the Trump organization and a family of Politically Exposed Persons (PEPs) in...more

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