Stacie Hartman on Whistleblowers, the CFTC and the FCPA

Stacie Hartman on Whistleblowers, the CFTC and the FCPA

In this episode I visit with Stacie Hartman, co-chair of the Financial Services Group at Steptoe & Johnson LLP. She offers insight in how this new appeal to whistleblowers could impact the type or volume of enforcement cases within the CFTC. Stacie leads major cases in courts around the country and in enforcement proceedings before the Commodity Futures Trading Commission (CFTC), Securities and Exchange Commission (SEC), and financial exchanges, as well as in investigations by the US Department of Justice (DOJ). She has a strong track record of helping her clients avoid prosecution completely or obtain settlements at record-low penalties. In July, the House passed the Whistleblower Protection Reform Act of 2019, which passed by a vote of 410-12. Last month the Senate introduced the Whistleblower Programs Improvement Act. In this podcast we consider what these pieces of legislation might mean for the corporate compliance practitioner. Some of the highlights include: We consider if these pieces of legislation are in response to the Supreme Court decision in Digital Realty Trust? If so, how do they remedy the Court’s decision? Are there be ancillary issues involved? Do they expand the definition of whistleblower? What do they do for the timeframes for decisions on whistleblower awards at the SEC and CFTC? Listeners are familiar with whistleblower process to the SEC. Have there been What if any are the differences in the process program run by to the CFTC? Resources Stacie Hartman firm profile Learn more about your ad choices. Visit megaphone.fm/adchoices

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The Business Case for Going Back into Venezuela with Loren Steffy

The Business Case for Going Back into Venezuela with Loren Steffy

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom welcomes back former Houston Chronicle business columnist Loren Steffy to discuss t...

27 Heinä 19min

The Scoular FCPA Enforcement Action: Customs Bribes, Cartel Links, and New Compliance Expectations

The Scoular FCPA Enforcement Action: Customs Bribes, Cartel Links, and New Compliance Expectations

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom welcomes back Matt Ellis to discuss a newly announced FCPA enforcement action invol...

20 Heinä 31min

AI in Compliance and Eastward AI’s Continuous Risk “Reality Check”

AI in Compliance and Eastward AI’s Continuous Risk “Reality Check”

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom welcomes back Gerry Zack, and they discuss the growing use of AI in compliance and ...

13 Heinä 29min

Managing Compliance and National Security Risks When Doing Business in the DRC, Part 2

Managing Compliance and National Security Risks When Doing Business in the DRC, Part 2

In this episode, Tom Fox welcomes David Simon, Partner at Foley & Lardner; Jack Korba, Of Counsel at Foley & Lardner; and Olivier Bustin, a Partner at Pinsent Masons, to discuss doing business in and ...

29 Kesä 24min

Managing Compliance and National Security Risks When Doing Business in the DRC, Part 1

Managing Compliance and National Security Risks When Doing Business in the DRC, Part 1

In this episode, Tom Fox welcomes David Simon, Partner at Foley & Lardner; Jack Korba, Of Counsel at Foley & Lardner; and Olivier Bustin, a Partner at Pinsent Masons, to talk about doing business in a...

22 Kesä 29min

Data Defensibility: The Foundation of AI Readiness with George Tziahanas

Data Defensibility: The Foundation of AI Readiness with George Tziahanas

In this episode, Tom Fox welcomes George Tziahanas, VP of Compliance and Associate General Counsel at Archive360, who brings a practical legal and governance perspective to the challenges of AI and da...

15 Kesä 30min

Leading with Invitation: Communications, Leadership, and Compliance with Dr. Dennis Cummins

Leading with Invitation: Communications, Leadership, and Compliance with Dr. Dennis Cummins

In this episode, Tom Fox welcomes Dr. Dennis Cummins to discuss his latest book, Invitational Selling: The Human Connection Advantage. Dr. Cummins is a renowned expert in the field of invitational sel...

8 Kesä 31min

Matt Ellis on Cartels, FTO Risk, and Corporate Compliance in Latin America

Matt Ellis on Cartels, FTO Risk, and Corporate Compliance in Latin America

In this episode, Tom Fox welcomes Matt Ellis of Miller & Chevalier about the ACI “Cartels, TCOs and Compliance in Latin America” forum (July 20–21, Washington, DC) and why cartel/TCO/FTO risk is a tim...

1 Kesä 25min

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