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Day 21 of One Month to Operationalizing Your Compliance Program-Operationalizing Compliance at the Bottom [Video]

Today, I consider how to drive the message of compliance into the bottom of your organization. Even when a company does all the right things at the senior management level, the real issue is whether or not that culture has...more

In Case You Missed It: Launch Links - March, 2017 #2

Some interesting links we found across the web this week: QuickLaunch University Webinar: Determining the Right Type of Entity - Substance and form both matter when choosing the right entity for your startup....more

Day 19 of One Month to Operationalizing Your Compliance Program-Operationalizing Compliance Through Leadership From The Top [Video]

Many companies struggle with some type of metric which can be used for upper management regarding compliance and communication of a company’s compliance values. One technique might be to require the CEO to post companywide...more

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

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

Delaware Paves the Way for the Use of Blockchain Technology

Following last May’s announcement of the “Delaware Blockchain Initiative” by former Delaware Governor Jack Markell, on March 13, 2017, the Corporate Council of the Corporation Law Section of the Delaware State Bar Association...more

Delaware Paves the Way for the Use of Blockchain Technology

Following last May’s announcement of the “Delaware Blockchain Initiative” by former Delaware Governor Jack Markell, on March 13, 2017, the Corporate Council of the Corporation Law Section of the Delaware State Bar Association...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

In Case You Missed It: Launch Links - March, 2017

Some interesting links we found across the web this week: Here's what tech investors were talking about at SXSW this week - SXSW is wrapping up this weekend, and we’ve got roundups galore....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

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

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

Myths & Misconceptions of Biotech Securities Claims: An Analysis of Motion to Dismiss Results (2005-2016)

There is a common life cycle for Directors and Officers Liability for a publicly-traded biotechnology company bringing its first drug or device to the market. In the early stages, whether pre-clinical or Phase 1, there is...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

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

Swimming in dark pools

NZX has published its regulatory agenda for 2017 setting out its regulatory priorities and resourcing, and the outcomes it seeks to achieve over the coming year. In both the 2016 and 2017 regulatory agendas, NZX has flagged...more

Assessing the Prospect of a Bitcoin ETF As Deadline Looms

For the last 3 1/2 years, the U.S. Securities and Exchange Commission has been considering whether to approve placement of the Winklevoss Bitcoin Trust ETF (Nasdaq: COIN) on the Bats exchange. The Bats exchange is currently...more

The Bitcoin Blockchain: SEC May Approve Winklevoss Twins’ Bitcoin ETF

Blockchain has been compared to the early days of the Internet: nearly everyone believes that it’s a world-changing technology with tremendous potential, but no-one can predict who the ultimate winners will be or what impacts...more

Business Litigation Report - February 2017

French Anti-Corruption Law Reform - Despite signing the OECD anti-corruption Convention in 1997, France has long been perceived as lacking necessary tools for domestic and international anti-corruption enforcement,...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

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