Compliance Issues in 2020, Part 2

Compliance Issues in 2020, Part 2

Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Welcome to the first Into the Weeds podcast of the new decade and the new year. In this Part 2 of a two-part podcast series, Matt Kelly and I take a look at ten issues that we think will be significant for the compliance professional in the upcoming year. Some of the highlights include: The Institutional Shareholder Services lawsuit against the SEC. What will this and other court cases against the Trump Administration’s attempt to gut shareholder protects by the SEC? Effective sanctions compliance programs. Will there be congruity or discrepancies in the interpretation of what constitutes a best practices compliance program by the DOJ and OFAC. Compliance convergence. We are moving to do away with anti-corruption compliance, trade sanction and export control compliance, AML compliance to a role which is simply compliance. Data, data and more data. Regulators now expect data analytics, continuous monitoring and continuous improvement in your compliance program. The ethical edge. How more effective compliance creates more efficient business process equating to greater profitability. Learn more about your ad choices. Visit megaphone.fm/adchoices

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Episoder(442)

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Broken Execution in Day-to-Day Compliance Operations – The BAE Enforcement Action

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AI for Compliance: Lessons from Teaching Cohorts⁠

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Compliance Implications of DOJ’s New Fraud Division and McDonald Memo

Compliance Implications of DOJ’s New Fraud Division and McDonald Memo

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19 Aug 24min

Ted Lasso, Culture and Compliance

Ted Lasso, Culture and Compliance

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12 Aug 28min

FinCEN’s $125MM UBS AML Order: A Culture and Resourcing Failure

FinCEN’s $125MM UBS AML Order: A Culture and Resourcing Failure

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Scoular Company FCPA Settlement: Cartel Links, Border Trade Risks, and Compliance Lessons

Scoular Company FCPA Settlement: Cartel Links, Border Trade Risks, and Compliance Lessons

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29 Jul 26min

The Slaughter Ruling, Regulatory Volatility and a Healthcare Compliance Fraud Case

The Slaughter Ruling, Regulatory Volatility and a Healthcare Compliance Fraud Case

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15 Jul 28min

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