Legal News

Welcome to a special five-part podcast series, A Conversation with Convercent and StoneTurn: From the Code of Conduct to Risk Assessment to Continuous Improvement. . In this fifth and final episode, I am joined by Martin for a discussion of evaluating compliance programs....By: Thomas Fox

One of the ongoing questions from members of Board of Directors is how to resolve the tension between oversight and managing. I recently had the opportunity to visit with Joe Howell, the Executive Vice President (EVP) of Workiva, Inc. on this subject. Howell has worked on and with Boards of Directors at various companies and I wanted to garner his understanding of the role of a Board and both senior management and a Chief Compliance Officer (CCO). Howell had a short response which I thought was....

Richard Lummis is on assignment this week so I am pleased to be joined by guest Nick Gallo, co-CEO of ComplianceLine for a special episode. In this episode Nick and I take a deep dive into Doris Kearns Goodwin’s class Doris Kearns Goodwin Teaches U.S. Presidential History and Leadership, where Pulitzer Prize–winning biographer Doris Kearns Goodwin teaches you how to develop the leadership qualities of exceptional American presidents. In her class, Goodwin shares how some of the greatest...By: ...

Welcome to the newest addition to the Compliance Podcast Network, Compliance and Coronavirus. In this episode, I visit with Jed Gardner, Senior Vice President at Linedata Technology. We discuss moving from disaster recovery to business continuity to business as usual during the time of Coronavirus. Some of the highlights include: Have you changed your training methods? If not, how should you do so. What technological innovations have you put in place? Are you engaged in reactive or proactive.....

In this episode of Trekking Through Compliance, we consider the episode The Lights of Zetar which aired on January 31, 1969, Star Date 5725.3. Fun Fact  Although this episode has received withering criticism for sexism, another viewpoint comes from Linda Winn, who dedicated an entire blog to Defending The Lights of Zetar. Winn sees a beautiful love story between an older man, who has only lived for his work who has finally fallen head over heels in love with a younger woman, Lt. Romaine. Winn....

I recently had the opportunity to visit with Michele Edwards, Partner at StoneTurn, to consider some of the impacts on corporate compliance programs from the recently released 2020 Update to the Department of Justice’s (DOJ) Evaluation of Corporate Compliance Programs (2020 Update). Edwards had one of the most interesting and basic insights for a compliance professional. She is a CPA by professional training and came at the requirements laid out in the 2020 Update from a quantitative...By: Tho...

Welcome to the newest addition to the Compliance Podcast Network, Compliance and Coronavirus. In this episode, I visit with John Fanning. He is a long-time player in the compliance space and John recently associated with Integrity Risk International. We discuss his move over to IRI and then take a deeper dive into 3rd party due diligence in the time of Coronavirus. Some of the highlights include: Why are due diligence services even more important in the era of Covid-19? What are Three...By: Th...

James Doty, former Commissioner of the Public Company Accounting Oversight Board (PCAOB) was once asked if the Board or its sub-committee which handles audits was a part of a company’s internal financial controls. He answered that yes, he believed that was one of the roles of an Audit Committee or full Board. I had never thought of the Board as an internal control but the more I thought about it, the more I realized it was an important insight for any Chief Compliance Officer or compliance...By...

How does Fahrenheit 451 foretell non-compliance regulation in Germany? Tom and Jay brave the surge in Covid cases by staying safe at home to tell the tale. They are back to look at top compliance articles and stories which caught their eye this week....By: Thomas Fox

Welcome to the only roundtable podcast in compliance. Today, we have the full quintet of Jonathan Armstrong, Jay Rosen, Matt Kelly, Jonathan Marks and Mike Volkov for a potpourri of discussions and ending with a veritable mélange of rants and shouts outs. 1. Jonathan Armstrong critiques the recent SFO conviction of two former Unaoil employees and the controversy the SFO and its Director, Lisa Osofsky now find themselves in regarding their conduct. Armstrong shouts out to the West Indies...By: ...