FCPA Compliance and Ethics Report

In this Episode of the FCPA Compliance Report, I am joined by fan fav James Koukios to review the Morrison & Foerster March International Anti-Corruption Newsletter.    Highlights of this podcast include: Scottish Oil and Gas Company Resolves Kazakhstan Bribery Allegations in Scotland. Why is Scotland prosecuting compliance? UK Serious Fraud Office Ends Foreign Bribery Investigation into KBR. UK to Launch Corruption Sanctions Regime in 2021. What does it mean for US or other non-UK companies?  Former CFO of New York-Based Hedge Fund Ordered to Pay Civil Penalty. Follow on from Och-Ziff, what is that case’s legacy? Oil Companies Acquitted in Italy over Nigeria Deal. Use to explore the prosecution’s theory of liability and how that could change compliance. Resources  James Koukios on the Morrison & Foerster website MoFo March International Anti-Corruption Newsletter here. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this Episode of the FCPA Compliance Report, I am joined by fan fav and now Hughes Hubbard & Reed partner Mike DeBernardis. We take a look back at some of the key enforcement actions and issues from Q2-2021.    Highlights of this podcast include: FCPA prosecutions. In the corp sphere, only one doesn’t really mean anything going forward. FCPA Individual Prosecutions. Is the Yates Memo finally leading to results? Anti-Trust. Will the focus on the large enforcement actions against Big Tech lead to an overall reduction or will the Division be going strong against all forms of anti-competitive behavior? FCA, Fraud in PPP and PPE. Where to you see this going? What about SEC enforcement actions? Will we see more in the areas of accounting fraud, SPACs, climate change and ESG areas? Do CCOs really need to worry about individual enforcement actions? What about environmental crime enforcement actions? Resources  Mike DeBernardis on the HughesHubbard website Mike DeBernardis on LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

In this Episode of the FCPA Compliance Report, I visit with three lawyers from Miller & Chevalier to discuss the Summer 2021 Edition. I am joined by Lauren Briggerman, Katherine Pappas and Ian Herbert. We take a deep dive into key areas of white collar enforcement and issues that every compliance, legal and business executive should be aware of going forward into the second half of 2021. Some of the highlights include: Lauren Briggerman What are some of the significant developments in cartel investigations and prosecutions involving senior execs? What have you seen around wage-fixing and price fixing? Yet more prosecutions in the poultry industry. Why have we seen so many over the past few years? Anything new on the extradition front? We saw additional charges and a settlement regarding auto emissions testing fraud. Where do you see this issue internationally? Katherine Pappas What has been the impact of the pandemic on white collar prosecutions? Where are we on government efforts to combat PPP and PPE fraud?   Anything happening on the FCPA front with individuals? Do you expect to see a pickup on the corp FCPA front in the remainder of 2021? What does the Biden administration’s memorandum on corruption as a national security issue mean for corporations and executives? Ian Herbert What did we see regarding individual prosecutions on the AML front? What about prosecutions for failures to set up AML compliance programs? What’s happening in crypto? Significant sentencings. Resources Miller & Chevalier Lauren Briggerman Katherine Pappas Ian Herbert Executive at Risk Newsletter, Summer 2021 Learn more about your ad choices. Visit megaphone.fm/adchoices

In this Episode of the FCPA Compliance Report, I am joined by Jason Mefford, a top thought leader in internal controls. We discuss his podcast Jamming with Jason, his online academy cRisk Academy and a unified theory of risk management. Highlights include: Why he began his podcast. How professionals consume information and content in 2021. Why he founded cRisk Academy. Unified risk management. What’s new in internal controls. The current state of live music. Resources  Jason Mefford on LinkedIn Jamming with Jason cRisk Academy Learn more about your ad choices. Visit megaphone.fm/adchoices

In this Episode of the FCPA Compliance Report, I am joined by Cristina Revelo. Cristina got a PhD in Compliance working at KPMG on the Wal-Mart account and later went in-house at Wal-Mart. She has a great story about how on the job training has given her a PhD in Compliance. She is now Deputy Director, Corporate Monitoring and Compliance Services at Affiliated Monitors, Inc. Highlights include: Her undergraduate career at University of Illinois and degrees in accounting. Her work at KPMG. What was it like moving over to Wal-Mart. What it was like doing compliance at the world’s largest retailer. Her current role at Affiliated Monitors. Resources  Cristina Revelo Profile on LinkedIn Affiliated Monitors The Compliance Handbook Learn more about your ad choices. Visit megaphone.fm/adchoices

In this Episode of the FCPA Compliance Report, I am joined by Christina Revelo. Christina got a PhD in Compliance working at KPMG on the Wal-Mart account and later went in-house at Wal-Mart. She has a great story about how on the job training has given her a PhD in Compliance.  She is now Deputy Director, Corporate Monitoring and Compliance Services at Affiliated Monitors, Inc. Highlights include: Her undergraduate career at University of Illinois and degrees in accounting.  Her work at KPMG. What was it like moving over to Wal-Mart. What it was like doing compliance at the world’s largest retailer.  Her current role at Affiliated Monitors. Resources  Christina Revelo Profile on LinkedIn Affiliated Monitors The Compliance Handbook Learn more about your ad choices. Visit megaphone.fm/adchoices

In this Episode of the FCPA Compliance Report, I am joined by Miller & Chevalier Members Alejandra Almonte and Matt Ellis to discuss ¡(H)Ola Compliance!. ¡(H)Ola Compliance! is the only Spanish and Portuguese language podcast produced in the US. Highlights include: Why they started their podcast. How the compliance profession has evolved in the Latin America over the past 5 years. What was it like to interview Judge Moro? What have been two or three of their biggest surprises from hosting the podcast? Where might ¡(H)Ola Compliance! compliance be headed down the road.   Resources  Alejandra Almonte Matt Ellis ¡(H)Ola Compliance! on the Compliance Podcast Network Learn more about your ad choices. Visit megaphone.fm/adchoices

In this Episode of the FCPA Compliance Report, I am joined by Mary Ann Faremouth, founder of Faremouth and Company and inventor of the Faremouth Method. She joins me to discuss her latest book Revolutionary Reinventionand what you can do for your career in this post-pandemic workplace. Highlights include: Her book "Revolutionary Reinvention" just won the First Place Non-Fiction Award by Authors Marketing International? Why she wrote this book and its intended market. Why is alignment with the new normal so critical now? The Faremouth Method and how it can the Faremouth Method help the graduates of 2021. As we move into the next phase of Covid-19, why are the topics you wrote about even more important?   Resources  MaryAnn Faremouth on LinkedIn Faremouth and Company Books by Mary Ann Faremouth: Revolutionary Reinvention Revolutionary Recruiting Learn more about your ad choices. Visit megaphone.fm/adchoices

In this Episode of the FCPA Compliance Report, I am joined by Charles Thomas Market Planning Director for LexisNexis Risk Solutions. In this episode we take a look at the current state of risk areas around third parties, the convergence of risk solutions and future developments in 3rd party risk solutions.  Highlights include: What are the top issues clients have faced over the past 12 months? What are the key trends in international ABC enforcement? What is the convergence of compliance, mixing ABC with supply chain, procurement, sanctions and other regimes? What is the increased focus on third parties and the risks posed by such relationships?   Resources  Charles Thomas on LinkedIn LexisNexis Risk Solutions Learn more about your ad choices. Visit megaphone.fm/adchoices

In this Episode of the FCPA Compliance Report, I am joined by Greg Keating, well-known employment lawyer who focuses on whistleblower regulation and litigation.  In this episode we take a look at the current state of whistleblower regulations, case law and recent SEC awards. Highlights include: Greg recently changed firms, moving to Epstein Becker & Green, P.C. He tells us about your new firm? Why was the whistleblower provision of the Anti-Money Laundering Act of 2020 so controversial? What are you counseling clients on regarding whistleblower claims under the Biden Administration? In addition to the AMLA of 2020, what other regulatory changes have you seen from the federal government regarding whistleblowers? Are there any court cases involving whistleblowers that have gotten your attention in 2021?  2002 was the Year of the Whistleblower with Sherron Watkins of Enron, Cynthia Cooper of WorldCom and Collen Rowley of the FBI. Could 2021 be in the running for such a designation? Why is listening to those employees who raise their hands and speak up so critical? Why is a proactive approach to whistleblowers so critical?   Resources  Greg Keating on LinkedIn Epstein Becker & Green, P.C. firm profile Learn more about your ad choices. Visit megaphone.fm/adchoices

In this Episode of the FCPA Compliance Report, I am joined by András Bácsfalvi, an AML compliance specialist in Hungary and more importantly host of the podcast Védelmi Vonalak .  In this episode we take a look at the current state of AML compliance in Hungary. Highlights include: Hungary is still a largely cash based society. How does this impact AML compliance? How  Bácsfalvi became interested in compliance.  What is a MLRO and what role does in fulfill in a compliance program? What are the challenges in anti-money laundering in Hungary?  What are some of the biggest challenges in his current role? What is your assessment of the current state of AML compliance in Hungary? The Bácsfalvi podcast Védelmi Vonalak. Why András Bácsfalvi started it, who is the audience? Resources  András Bácsfalvi LinkedIn profile Védelmi Vonalak podcast Learn more about your ad choices. Visit megaphone.fm/adchoices

In this Episode of the FCPA Compliance Report, I am joined by fan fav James Koukios, partner at Morrison & Foerster and editor of the firm’s great monthly International Anti-Corruption Developments Newsletter. In this episode we look back to some of the key developments from the January and February newsletters. Highlights include: 2021 TI-CPI released. What value do you see in it? Do compliance professionals rely too greatly on it to determine an appropriate level of due diligence? Samir Khoury denied cert. How or why could an indictment go unsealed for 10 years? Daniel Comoretto pleads guilty. Follow on from Sargeant Marine FCPA enforcement action. KBR decision. What does it mean for the SFO? Samsung Industries resolves corruption matter thru Leniency Agreement. Paul Bond convicted on retrial. Spain extradited Alonso Ancira to Mexico. What if any is the significance to this action? Car Wash ends. How would you assess its overall impact on the global fight against bribery and corruption? Resources  January International Anti-Corruption Developments February International Anti-Corruption Developments James Koukios on MoFo Learn more about your ad choices. Visit megaphone.fm/adchoices

In this Episode of the FCPA Compliance Report, I am joined by Joey Seeber, CEO of Level Legal, an alternative legal services provider with a wide range of talented skills. We explore how an alternative legal service provider can act as an adjunct to an in-house corporate legal team, compliance function or law firm. In this Part 2, we look at Level Legal, what makes it different as an alternative legal service provider and where the company is headed down the road. We conclude with a discussion of the Baylor Bears and their 2021 NCAA Men’s Basketball Championship. Resources  Level Legal website Joey Seeber on LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

In this Episode of the FCPA Compliance Report, I am joined by Joey Seeber, CEO of Level Legal, an alternative legal services provider with a wide range of talented skills. We explore how an alternative legal service provider can act as an adjunct to an in-house corporate legal team, compliance function or law firm. In this Part 1, we look at Seeber’s professional background, his time in politics, the founding of the company and its early days. Some of this episodes highlights include:  What led Seeber to run for public office and why the mayor of Tyler? What were some of the key leadership lessons Weeber learned as Mayor? What were a couple of Seeber’s top challenges/successes as Mayor? What led Seeber to found Level Legal? What makes the Level Legal approach different? Why is Level Legal a ‘Boundary Pushers’ in the legal space? Why is building long term relationships so critical to Level Legal success? What are some of Level Legal’s biggest successes to-date? Join us for Part 2 on Wednesday, May 13. Resources  Level Legal website Joey Seeber on LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

In this Episode of the FCPA Compliance Report, I am joined by fan fav and now Hughes Hubbard & Reed partner Mike DeBernardis. We take a look back at some of the early pronouncements from the Biden Administration and consider where both enforcement and regulatory oversight may be headed into the rest of 2021.  Highlights of this podcast include: What are the 3 top areas you and Hughes Hubbard are counseling clients to be aware of over the next few years? In addition to general areas the DOJ has signaled its interest in; other federal agencies are coming to life again. What should clients think about regarding expanded FTC, CFPB and CFTC oversight and enforcement? The pandemic changed the way many investigations are conducted. Other than Zoom interviews, did your substantive work really change in the areas of document review, background ETC? What about Board and senior management risk management issues. Has it changed or are these groups now focused on a broader set of risk management strategies? To the international arena. Are there any countries/regions you are watching more carefully than others in terms of ABC enforcement? Resources  Mike DeBernardis on the HughesHubbard website Mike DeBernardis on LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

In this Episode of the FCPA Compliance Report, I am joined by Max Keating, CEO and co-founder of Kleos, a scheduling and payment platform for the eSports industry. We take a deep dive into eSports, the Kleos platform and how the industry is evolving from an internal controls, compliance and ESG perspective. If you do not know anything about eSports and you are in compliance, this is a podcast for you.   Highlights of this podcast include: The breadth and scope of the eSports industry? What market gap or need did you see in the eSports industry? What is the interest in fan interaction with players and celebs?  What idea(s) led to the creation of Kleos? What makes Kleos different? A portion of the proceeds from each match played on Kleos go to charity. Why is this so important to you and the company? Resources Kleos website Max Keating on LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

In this Episode of the FCPA Compliance Report, I am joined by Laura Tulchin, Director at Exiger. We take a deep dive into ESG and compliance, both now and in the future in a fascinating episode about 2020, the year everything changed. Highlights of this podcast include:\r\n\nWhy has ESG become such an important topic?\r\n\nWhat does ESG mean?\r\n\nWhy should ESG be headed by the CCO and compliance?\r\n\n How does ‘Hearts and Minds’ apply to ESG?\r\n\nWhat risk management tools can facilitate ESG?\r\n\nWhat do compliance professionals and companies need to be focusing on down the road regarding ESG?\r\n\nResources \r\nLaura Tulchin on LinkedIn\r\n \r\nLearn more about your ad choices. Visit megaphone.fm/adchoices\r\n

In this Episode of the FCPA Compliance Report, I am joined by Quyen Truong, partner at Stroock and Stroock. During her career in government, she worked at the Consumer Financial Protection Bureau. She joins me to talk about the CFPB under the Biden Administration.  Highlights of this podcast include:\r\n\nWhat is the CFPB? What does it regulate?\r\n\nWhat is the likely impact of Rohit Chopra to head the CFPB?\r\n\nWhat will he need to do to rebuild the morale of the CFPB?\r\n\n What do you see as the direction by the CFPB in regulation and enforcement?\r\n\nAny new policy initiatives or directives?\r\n\nWhat is the interaction between the CFPB and the states? How might that change under the Biden Administration?\r\n\n\r\n\r\n \r\nLearn more about your ad choices. Visit megaphone.fm/adchoices\r\n

In this Episode of the FCPA Compliance Report, I am joined by Erica Salmon Byrne, EVP at Ethisphere. We take a deep dive into Ethisphere’s 2021 WME report and white papers on the award-winning best practices in global compliance program management, 3rd party risk management and training and communication.\r\nHighlights of this podcast include:\r\n\nWhat was the Ethical Premium for 2021?\r\n\nWhat do are the numbers?\r\n\nWhat are the best practices around remotely managing an effective global program effectively?\r\n\nWhat are the best practices around third-party risk management in 2021?\r\n\nWhat are the best practices around training and communications in the era of Covid-19?\r\n\nWhy should you plan to attend Ethisphere’s 2021 Global Ethics Summit?\r\n\nResources\r\n Erica Salmon Byrne LinkedIn Profile\r\nEthisphere\r\n2021 WME Awards\r\nLeading Practices-Remotely Managing an Effective Global Program Effectively\r\nLeading Practices-3rd Party Risk Management\r\nLeading Practices-Training and Communications\r\nEthisphere 2021 Global Ethics Summit, registration and information here. Use Code tomfox15 for 15% discount.\r\n \r\nLearn more about your ad choices. Visit megaphone.fm/adchoices\r\n

In the Episode, the hosts of the Microsoft podcast, Uncovering Hidden Risks join me. Raman Kalyan is a Director of Product Marketing on the Microsoft 365 Security and Compliance team focused primarily on the Insider Risk Management set of solutions. Talhah Mir is a Principal Product Manager on the MIP & Compliance US OPEX team. \r\nIn this podcast, they explore a broader set of issues focused on identifying the various risks organizations face as they navigate the internal and external requirements organizations must comply with. They will take you through a journey on insider risks to uncover some of the hidden security threats that Microsoft and organizations across the world are facing. They bring to the surface some of the best-in-class technology and processes to help you protect your organization and employees from risks from trusted insiders. Highlights of this podcast include:\r\n\nWhy did you start “Uncovering Hidden Risks”? What are insider risks?\r\n\nHow should a corporate compliance function or risk management function think about risks inside of an organization?\r\n\nWhat are some of the tools you and your team have developed at Microsoft to help manage these risks?\r\n\nHow do manage these insider risks in the context of data privacy?\r\n\nWhat are some of the communication strategies you advocate?\r\n\nWhat are some examples of market solutions you have developed?\r\n\nResources \r\nRaman Kalyan LinkedIn Profile\r\nTalhah Mir LinkedIn Profile\r\nUncovering Hidden Risks\r\n \r\nLearn more about your ad choices. Visit megaphone.fm/adchoices\r\n