Welcome to the only roundtable podcast in compliance. Today, we are joined by our newest panelist Karen Woody join us as a permanent panelist. The entire gang was also thrilled to be honored by W3 as a top talk show in podcasting.
In the context of several different stories, the full gang takes a deep dive into the role, status, and potential liability of the CCO. We end with a veritable mélange of shouts, outs, and See more +
Welcome to the only roundtable podcast in compliance. Today, we are joined by our newest panelist Karen Woody join us as a permanent panelist. The entire gang was also thrilled to be honored by W3 as a top talk show in podcasting.
In the context of several different stories, the full gang takes a deep dive into the role, status, and potential liability of the CCO. We end with a veritable mélange of shouts, outs, and rants.
1. Karen Woody talks about a 2018 SEC enforcement action that held a CCO personally liable and its implications going forward. Karen has a shout-out to WeWork going public via a SPAC.
2. Jay Rosen discusses how monitors evaluate corporate whistleblowing programs. Rosen has a melancholy rant about shooting victims on movie sets.
3. Matt Kelly discusses the enforcement action involving Credit Suisse and tuna bonds. Kelly has an extended rant about the ongoing debt crisis.
4. Jonathan Armstrong looks at the recent CMA fine in the UK against Facebook for changing CCOs twice without informing the CMA. He shouts out to the graduating class of 2021 and all they went through during Covid-19 to obtain their degrees.
5. Jonathan Marks talks about the role of internal audit, the Board, and whether the termination of a CCO should be an 8K event. He rants about hotels charging full prices while cutting back on their services.
6. Tom Fox shouts out to Houston Astros, who are in the World Series for the 3rd time in 5 years. See less -
