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Archive by tag: Compliance EvangelistReturn

[Video] 31 Days to a More Effective Compliance Program - Distributor Liability Under the FCPA

Three enforcement actions which made clear that there were no distinctions between agents and distributors. They were the Smith & Nephew, Inc., Oracle and Eli Lilly and Company. Each of these enforcement actions had different FCPA violations and they each revealed separate steps which a company should take to both prevent and detect FCPA violations in their company. Three Key Takeaways 1. Use auditing and monitoring. 2. Distributors will be treated the same as other business ventures. 3....By:...
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Compliance Evangelist | Oct 30,2020 |

[Video] 31 Days to a More Effective Compliance Program- Why Business Ventures are Different than 3rd Parties

Business ventures, whether JVs, partnerships, franchises, team agreements, strategic alliances or one of the myriad types of business relationships a U.S. company can form outside the U.S., are different than the usual risk presented by third-parties under compliance requirements such as those mandated by the FCPA. The problems for companies is that they tend to treat business venture risk the same as third-party risk. They are different and must be managed differently. The bottom line is...B...
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Compliance Evangelist | Oct 30,2020 |

[Video] The Affiliated Monitors Expert Podcast -Nuts and Bolts of Working with a Monitor for Defense Counsel

In this podcast I am joined by AMI Managing Director Don Stern. We consider how defense counsel can work proactively with independent monitors to help clients who may have sustained an ethical or compliance violation or are under government scrutiny for allegations of illegal misconduct in a wide variety of industries, disciplines and corporate settings. In this episode, take a deep dive into the nuts and bolts of defense counsel working with a third-part independent monitor....By: Thomas Fox
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Compliance Evangelist | Oct 27,2020 |

[Video] Fraud Eats Strategy - Using Artificial Intelligence to Root Out Fraud and Insider Trading

In this episode, we discuss the rapidly expanding use of artificial intelligence, machine learning and robotic process automation to undertake trade surveillance and mitigate fraud. In this episode, we discuss the rapidly expanding use of artificial intelligence, machine learning and robotic process automation to undertake trade surveillance and mitigate fraud. Joining me today are two experts on the subject of Artificial intelligence from both the technical and legal and compliance...By: Thomas...
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Compliance Evangelist | Oct 23,2020 |

[Video] 31 Days to a More Effective Compliance Program - Financial review of your business venture partner

One area not usually considered around your business ventures is the financial health of JV partner, teaming partner, strategic partner or any other type of business partner or relationship which might occur in a business venture. It turns out such an oversight may have some significant ramifications for an accurate picture of a business venture partner. The financial health of a business venture partner as not only a key metric but also a key tool which allows a more robust assessment prior to....
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Compliance Evangelist | Oct 22,2020 |

[Video] Innovation in Compliance - Empowering Adversary Intelligence with Luke Wilson

Tom Fox welcomes Luke Wilson to the Innovation In Compliance show. Luke is the Vice President of Intelligence at 4iQ. He has extensive experience in cyber threat analysis and counter-terrorism, having worked with the federal government for many years. Luke and Tom chat about trending cybersecurity issues in this week’s show....By: Thomas Fox
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Compliance Evangelist | Oct 20,2020 |

[Video] 31 Days to a More Effective Compliance Programs - Tying it all together for JVs

I want to emphasize again the risks JVs pose under the FCPA. Mike Volkov has stated, “A joint venture requires the integration of disparate company cultures. It can be successful and is usually one of the significant reason for the joint venture itself.” Both parties should assess each other and decide that the JV is a good fit, meaning that each side will benefit. Too much time is spent on looking at the JV partner’s compliance toolbox (i.e., policies, procedures, and controls), and not enou...
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Compliance Evangelist | Oct 19,2020 |

[Video] 31 Days to a More Effective Compliance Program - Post-acquisition integration plan

Your company has just made its largest acquisition ever and your CEO says that he wants you to have a compliance post-acquisition integration plan on his desk in one week. Where do you begin? Of course, you think about the 2020 FCPA Resource Guide, 2nd edition but you also remember that the established time frames in the enforcement actions involving Johnson & Johnson (J&J), Pfizer Inc. and DS&S and the Halliburton Opinion Release. While there are time frames listed in these DPAs, they are a.....
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Compliance Evangelist | Oct 17,2020 |

[Video] EMBARGOED! We'll See You in Court! Checking In on TikTok, WeChat, ICC, and Commerce Lawsuits

Brian and Tim drop the gavel to render verdicts on the litigation impacting the TikTok and WeChat bans and a lawsuit challenging the legal bases for the new ICC-related sanctions program. We also discuss OFAC's recent ransomware advisory and give some thoughts on a recent OFAC enforcement action focused on Cuba. Then, in the Lightning Round, we share our initial impressions on brand new U.S. sanctions targeting Iran's financial sector and dissect the outcome of a lawsuit challenging the...By: Th...
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Compliance Evangelist | Oct 16,2020 |

[Video] Pre acquisition Due 31 Days to a More Effective Compliance Programs- Pre-acquisition due diligence

The compliance component of your M&A regime should begin with a preliminary pre-acquisition assessment of risk. Such an early assessment will inform the transaction research and evaluation phases. This could include an objective view of the risks faced and the level of risk exposure, such as best/worst case scenarios. A pre-acquisition risk assessment could also be used as a “lens through which to view the feasibility of the business strategy” and help to value the potential target. Three key...
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Compliance Evangelist | Oct 15,2020 |
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