Podcasts about fraud section

Hui Chen is a luminary in the world of Ethics and Compliance, and she is our guest on today's episode of Great Women in Compliance. Today, Hui is one of the co-founders of CDE Advisors, which stands for “Culture. Data. Ethics.” Most of us know Hui from her work at the Department of Justice (DOJ) and her contributions to the Evaluation of Corporate Compliance for the Fraud Section. However, my career path included being a prosecutor, in-house compliance work, and even being inspired to pursue a Master's degree in Divinity after the 9/11 attacks. Hui discusses the origins of the ECCP and her perspective on its current use. She also discusses the opportunity in the “FCPA pause” and how organizations can broaden their ethical considerations beyond foreign bribery to focus on relationships with all stakeholders. She discussed how the focus on regulatory guidance, particularly on bribery outside the United States, is just one of many areas to consider as a compliance professional.  She also offers practical advice based on her experiences working with global compliance functions and the lessons she has learned.

Morrison Foerster partners Kate Driscoll and Nate Mendell, both former federal prosecutors and members of the firm's Investigations + White Collar Defense Group, hosted the seventh episode of When Your Life Sciences Are on the Line, where leading practitioners and thought leaders share the insights and advice needed to manage business and legal risk in the life sciences sector. In this episode, Kate and Nate spoke with Chen Zhu, a partner in Morrison Foerster's Investigations + White Collar Defense and FCPA + Global Anti-Corruption Groups, and James Koukios, co-head of Morrison Foerster's FCPA + Global Anti-Corruption Group and former senior deputy chief of the Fraud Section at the U.S. Department of Justice (DOJ). Together, they discussed anti-corruption and Foreign Corrupt Practices Act (FCPA) considerations and enforcement concerns for life sciences companies, especially those operating in both the U.S. and China.

Thursday, May 16th, 2024Today, Arizona officials say they can't find Giuliani to serve him with his indictment; anti-abortion activist Lauren Handy has been sentenced to more than 4 years in prison for orchestrating a DC clinic invasion; Nikki Haley picks up 20% of the vote in yet another Republican primary; Trump and Biden have agreed two debates in June and September; a jury has been seated in the criminal trial of Senator Bob Menendez; House Freedom Caucus members are planning to attend Trump's trial today; the DoJ says Boeing has violated the deal that avoided prosecution after the 737 max crashes; Andrew Rice tells MSNBC that during the Trump trial he personally witnessed Trump "editing" and "making notations" to quotes his Republican surrogates made to the press; plus Allison and Dana deliver your Good News.Promo Code:For up to 30% off all mattress orders AND two free pillows for our listeners! Go to https://www.helixsleep.com/dailybeans.Subscribe for free to MuellerSheWrote on Substackhttps://muellershewrote.substack.com Arizona officials say they can't find Rudy Giuliani to serve him with indictment notice (CNN)Anti-abortion activist Lauren Handy sentenced to more than 4 years in prison for orchestrating DC clinic invasion (WUSA9)House conservatives try to plan Trump trial visit (Politico)Justice Department says Boeing violated deal that avoided prosecution after 737 Max crashes (Boeing) Subscribe to Lawyers, Guns, And MoneyAd-free premium feed: https://lawyersgunsandmoney.supercast.comSubscribe for free everywhere else:https://lawyersgunsandmoney.simplecast.com/episodes/1-miami-1985Check out other MSW Media podcastshttps://mswmedia.com/shows/Follow AG and Dana on Social MediaDr. Allison Gill Follow Mueller, She Wrote on Posthttps://post.news/@/MuellerSheWrote?utm_source=TwitterAG&utm_medium=creator_organic&utm_campaign=muellershewrote&utm_content=FollowMehttps://muellershewrote.substack.comhttps://twitter.com/MuellerSheWrotehttps://www.threads.net/@muellershewrotehttps://www.tiktok.com/@muellershewrotehttps://instagram.com/muellershewroteDana Goldberghttps://twitter.com/DGComedyhttps://www.instagram.com/dgcomedyhttps://www.facebook.com/dgcomedyhttps://danagoldberg.comHave some good news; a confession; or a correction?Good News & Confessions - The Daily Beanshttps://www.dailybeanspod.com/confessional/From The Good NewsAffordable Care Act (ACA)https://www.healthcare.gov/glossary/affordable-care-actSuzanne LaFrance poised to be Anchorage's first elected female mayorhttps://alaskapublic.org/2024/05/14/suzanne-lafrance-poised-to-be-anchorages-first-elected-female-mayorSan Diego Health And Human Serviceshttps://www.sandiegocounty.gov/hhsa24/7 confidential crisis support (VA)https://www.veteranscrisisline.net/?gclid=CjwKCAjwupGyBhBBEiwA0UcqaLpuzvhOLsR4cwHsy8J8oMm-UxM3qzdaNyc8z4aSRSas9vw2T_VZkBoCTTAQAvD_BwE Live Show Ticket Links:https://allisongill.com (for all tickets and show dates)Sunday, June 2nd – Chicago IL – Schubas TavernFriday June 14th – Philadelphia PA – City WinerySaturday June 15th – New York NY – City WinerySunday June 16th – Boston MA – City WineryMonday June 17th Boston, MA https://tinyurl.com/Beans-Bos2Wednesday July 10th – Portland OR – Polaris Hall(with Dana!)Thursday July 11th – Seattle WA – The Triple Door(with Dana!)Thursday July 25th Milwaukee, WI https://tinyurl.com/Beans-MKESunday July 28th Nashville, TN - with Phil Williams https://tinyurl.com/Beans-TennWednesday July 31st St. Louis, MO https://tinyurl.com/Beans-STLFriday August 16th Washington, DC - with Andy McCabe, Pete Strzok, Glenn Kirschner https://tinyurl.com/Beans-in-DCSaturday August 24 San Francisco, CA https://tinyurl.com/Beans-SF Listener Survey:http://survey.podtrac.com/start-survey.aspx?pubid=BffJOlI7qQcF&ver=shortFollow the Podcast on Apple:The Daily Beans on Apple PodcastsWant to support the show and get it ad-free and early?Supercasthttps://dailybeans.supercast.com/OrPatreon https://patreon.com/thedailybeansOr subscribe on Apple Podcasts with our affiliate linkThe Daily Beans on Apple Podcasts

On this episode of the inSecurities podcast, Chris and Kurt tackle commodities enforcement. Jamie McDonald, a Partner at Sullivan & Cromwell and a former Director of Enforcement at the Commodity Futures Trading Commission, and Avi Perry, a Partner at Quinn Emanuel Urquhart & Sullivan and a former Chief of the Market Integrity and Major Frauds Unit in the Department of Justice Criminal Division's Fraud Section, offer their perspectives on civil and criminal commodities investigations and enforcement. Jamie and Avi explain how they helped shape the CFTC and DOJ enforcement programs, how the agencies coordinate on enforcement matters, and what count among the current commodities enforcement priorities for the CFTC and DOJ.

Guests:  Robert Zink, former head of the U.S. Justice Department's Criminal Division, Fraud Section and partner in Quinn Emanuel's Washington, D.C. office and Steve Madison, former federal prosecutor and partner in Quinn Emanuel's Los Angeles office. John, Robert, and Steve follow up on their August 2023 podcast about the four pending criminal actions against former President Donald Trump. They discuss how events might play out if , as seems likely, Trump is convicted in one or more of the cases.  They discuss the current timeline of each case and which will likely go to trial before the November election. They also discuss the consequences of possible convictions in each case, including the range of potential sentences, the procedures involved in sentencing, and the likelihood that he would remain free on bond.  They also discuss the impact any potential convictions would have on his ability to remain on the ballot, possible challenges to enforcing any sentences should he win the election, and the possibility of obtaining pardons, whether by himself or President Biden for the potential federal convictions or by the Governors of New York or Georgia in the state cases. They also discuss a potential Constitutional crisis if he were to refuse to report to prison and potential solutions such as a special sentencing to home detention or delayed prison time until after presidential term.  .  Podcast Link: Law-disrupted.fmHost: John B. Quinn Producer: Alexis HydeMusic and Editing by: Alexander Rossi

The US Department of Justice Criminal Division has been increasingly vocal about what makes organizations' ethics and compliance programs effective. This input on program effectiveness takes the form of guidance to prosecutors about what questions to ask when companies negotiate to resolve DOJ investigations into corporate wrongdoing on favorable terms. What does this guidance on program effectiveness mean in practice for E&C professionals? In the season 10 premiere of LRN's Principled Podcast, host Susan Divers speaks with John Michelich, who retired last November after 35 years as a federal prosecutor with the Department of Justice's Criminal Division. Listen in as they explore how the DOJ evaluates E&C programs, as well as best practices for companies settling misconduct investigations.  For a full transcript of this podcast, visit the episode page at LRN.com   Guest: John Michelich John Michelich is a retired career prosecutor, who has served at the state, federal, and international levels for 45 years. A native of Illinois, John received his undergraduate education at Illinois Wesleyan University and then attended Drake University Law School in Des Moines, Iowa. For 10 years, John served as Assistant State's Attorney and First Assistant State's Attorney in Springfield, Illinois, where he prosecuted all types of state criminal felony violations including armed robbery, aggravated sexual assault and capital murder.    In 1988, John moved to Washington, DC where he began his 35-year career as a prosecutor with the US Department of Justice, Criminal Division. As a federal prosecutor, John has handled a wide variety of cases including child pornography and obscenity, narcotics distribution and all types of white-collar criminal cases. John served for 30 years as a prosecutor with the Fraud Section of the Criminal Division where he handled numerous cases including health care fraud, bank fraud, telemarketing fraud, commodities and securities fraud and violations of the Foreign Corrupt Practices Act. Because Washington DOJ lawyers are traveling prosecutors, John has handled grand jury proceedings or jury trials in more than two dozen federal districts nationwide from Guam and Hawaii to Puerto Rico, and California to New York. Over his long career, John has tried dozens of jury trials to verdict.   In 1998, the Justice Department sent John on loan to the United Nations' International Criminal Tribunal for the Former Yugoslavia, also known as the War Crimes Tribunal, in the Hague, Netherlands, where he handled investigations and Tribunal proceedings involving crimes against humanity and serious breaches of the Geneva Convention that occurred during the Yugoslavian civil war.    For over 40 years, John has been an active instructor of Trial Advocacy and has appeared regularly on the faculty of the NITA Trial Practice course offered at Georgetown University Law Center. In addition, John has served as an Adjunct Professor at Georgetown, teaching Trial Practice courses to third-year law students. In his retirement, John is available as a legal consultant to trial lawyers to advise them in preparation for jury trials and to consult with corporate counsel concerning internal investigations and to advise them on how to approach the government when there are allegations of wrongdoing, especially foreign bribery.  John is licensed to practice in the states of Illinois and Iowa, and several federal courts, and is a licensed Solicitor of the Senior Courts of England and Wales.      Host: Susan Divers Susan Divers is a senior advisor with LRN Corporation. In that capacity, Ms. Divers brings her 30+ years' accomplishments and experience in the ethics and compliance area to LRN partners and colleagues. This expertise includes building state-of-the-art compliance programs infused with values, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance and substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance. Prior to joining LRN, Mrs. Divers served as AECOM's Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM's ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers' thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company's ethics and compliance program. Mrs. Divers' background includes more than thirty years' experience practicing law in these areas. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative. Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington D.C. and of the National Law Center of George Washington University. In 2011, 2012, 2013 and 2014 Ethisphere Magazine listed her as one the “Attorneys Who Matter” in the ethics & compliance area. She is a member of the Advisory Boards of the Rutgers University Center for Ethical Behavior and served as a member of the Board of Directors for the Institute for Practical Training from 2005-2008. She resides in Northern Virginia and is a frequent speaker, writer and commentator on ethics and compliance topics. Mrs. Divers' most recent publication is “Balancing Best Practices and Reality in Compliance,” published by Compliance Week in February 2015. In her spare time, she mentors veteran and university students and enjoys outdoor activities.  

John is joined by Robert Zink, former head of the U.S. Justice Department's Criminal Division, Fraud Section and partner in Quinn Emanuel's Washington, D.C. office and Steve Madison, former federal prosecutor and a partner in Quinn Emanuel's Los Angeles office.  They discuss the four pending indictments against former President Donald Trump, including, for each indictment, what the government must prove, what former President Trump's defenses likely will be, and the potential impact of the different judges' backgrounds and jury pools in each case. They also handicap the likelihood of President Trump prevailing in each case. Finally, they also discuss the potential impact of these cases on public discourse and political life.Podcast Link: Law-disrupted.fmHost: John B. Quinn Producer: Alexis HydeMusic and Editing by: Alexander Rossi

On this week's Amicus, Dahlia Lithwick talks with Andrew Weissmann, former lead prosecutor in Robert S. Mueller's Special Counsel's Office and former Chief of the Fraud Section in the Department of Justice from 2015 - 2019. Together, they tackle the tangled web of investigations into the former President, and the trajectory of possible indictments. And Andrew helps us hone in on some crucial details we may have missed in the fog of building barricades outside the Manhattan Criminal Courthouse. Andrew Weissmann's book, Where Law Ends, was published by Random House in 2021 In this week's Amicus Plus segment, Dahlia is joined by Slate's Mark Joseph Stern to understand how Trump judges could tank the economy, the latest on abortion in states trying grapple with the (entirely predictable) deadly consequences of the Dobbs decision, and why all this underlines why the Wisconsin Supreme Court election really matters.   Sign up for Slate Plus now to listen and support our show. Learn more about your ad choices. Visit megaphone.fm/adchoices

On this week's Amicus, Dahlia Lithwick talks with Andrew Weissmann, former lead prosecutor in Robert S. Mueller's Special Counsel's Office and former Chief of the Fraud Section in the Department of Justice from 2015 - 2019. Together, they tackle the tangled web of investigations into the former President, and the trajectory of possible indictments. And Andrew helps us hone in on some crucial details we may have missed in the fog of building barricades outside the Manhattan Criminal Courthouse. Andrew Weissmann's book, Where Law Ends, was published by Random House in 2021 In this week's Amicus Plus segment, Dahlia is joined by Slate's Mark Joseph Stern to understand how Trump judges could tank the economy, the latest on abortion in states trying grapple with the (entirely predictable) deadly consequences of the Dobbs decision, and why all this underlines why the Wisconsin Supreme Court election really matters.   Sign up for Slate Plus now to listen and support our show. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of There Has to Be a Better Way?, the first in a special series of three episodes, Hui Chen and Zach Coseglia discuss the recent policy changes announced by the Department of Justice related to compliance incentives, clawbacks and messaging apps. Hui recounts the origins of the Fraud Section's “Evaluation of Corporate Compliance Programs” and she and Zach question some of the assumptions baked into these policy updates.

In this episode of There Has to Be a Better Way?, the first in a special series of three episodes, Hui Chen and Zach Coseglia discuss the recent policy changes announced by the Department of Justice related to compliance incentives, clawbacks and messaging apps. Hui recounts the origins of the Fraud Section's “Evaluation of Corporate Compliance Programs” and she and Zach question some of the assumptions baked into these policy updates.

Justin Weitz Host Rich Goldberg talks to former senior Justice Department criminal fraud prosecutor Justin Weitz about what's likely to come next for FTX and SBF. Weitz is a partner at Morgan Lewis. He spent nearly a decade in the US Department of Justice's Criminal Division, serving as the principal assistant chief of the Fraud Section's Market Integrity and Major Frauds Unit, where he led 45... Source

Justin Weitz Host Rich Goldberg talks to former senior Justice Department criminal fraud prosecutor Justin Weitz about what’s likely to come next for FTX and SBF. Weitz is a partner at Morgan Lewis. He spent nearly a decade in the US Department of Justice’s Criminal Division, serving as the principal assistant chief of the Fraud Section’s Market Integrity and Major Frauds Unit, where he led 45... Source

In today's edition of Daily Compliance News: ·       New head of the Fraud Section speaks to Law.com.  (Law.com)  ·       Gensler backs CFTC authority over Stablecoin. (Reuters)   ·       More Corruption in soccer. (ESPN) ·       Peter Thiel becoming Maltese? (NYT)  Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of the Above Board podcast, Morrison Foerster partner and host Dave Lynn speaks with partners James Koukios, former DOJ prosecutor and Senior Deputy Chief of the Criminal Division's Fraud Section in Washington, D.C., and Stacey Sprenkel, a skilled investigations attorney with decades of experience conducting corporate internal investigations and global risk assessments, on the importance of an effective ethics and compliance program for corporations and how the board of directors plays a critical role in that area. The board's role in overseeing the ethics and compliance function at companies is discussed, with a particular focus on the reporting structure from a Chief Compliance Officer to the board, how the board can assure itself that it is getting the right information at the right time, and how the board can positively impact compliance function. The speakers also share their top compliance tips and takeaways for board members.

Jill and Victor are joined by former lead prosecutor on the Robert Mueller Special Counsel team, former Chief of the Fraud Section at the Department of Justice, and current MSNBC Legal Analyst and Law Professor at NYU Law Andrew Weissmann. Together, they examine the multitude of legal challenges facing Trump, the many absurd arguments Trump and his lawyers are making, and what we should expect in the days and weeks to come regarding Mar-a-Lago and other Trump crimes.  Get More From Andrew Weissmann:  Twitter | NYU Law | Where Law Ends: Inside the Mueller Investigation | Recent Atlantic article: A Ruling Untethered to Law  Recent Boston Globe Article By Victor Shi: On Why The Midterms May Send More People to the Ballot Box Get More From Victor and Jill Jill Wine-Banks: Twitter | Facebook | Website | Author of The Watergate Girl: My Fight For Truth & Justice Against A Criminal President | iGen Politics Victor Shi: Twitter |Medium | Blog w/Jill Wine-Banks |  Former Biden Delegate: @Bideninaugural | iGen Politics Email iGen Politics at igp@politicon.com or tweet using #iGenPolitics.

Monday June 20, 2022 Former HP Compliance Officer to Head Fraud Section

In today's edition of Daily Compliance News: ·      DOJ hires HP CCO to run Fraud Section. (WSJ)   ·      Hui Chen moves to R&G Insights Lab. (WSJ) ·      Gymnasts sue FBI for $1bn.  (WSJ) ·      New SEC rules on equity trades.  (WSJ) Learn more about your ad choices. Visit megaphone.fm/adchoices

This episode of the FCPA Compliance Report begins a special two-part series with two well-known compliance professionals. Matt Galvin, most recently the CCO at AB-InBev and Dan Kahn, former acting Deputy Assistant Attorney General of the Criminal Division, Chief of the Fraud Section, and Chief of the FCPA Unit. Dan is now in private practice at DavisPolk. In this concluding Part 2, we take a deep dive into the Lisa Monaco Speech focusing on how the DOJ might look to access corporate culture, the Speech's effect on the Benczkowski Memo, using the Monaco Speech and other external information for internal corporate presentations and the DOJ reviewing other corporate misconduct.  Resources Matt Galvin on LinkedIn Dan Kahn at Davis Polk Learn more about your ad choices. Visit megaphone.fm/adchoices

This episode of the FCPA Compliance Report begins a special two-part series with two well-known compliance professionals. Matt Galvin, most recently the CCO at AB-InBev and Dan Kahn, former acting Deputy Assistant Attorney General of the Criminal Division, Chief of the Fraud Section, and Chief of the FCPA Unit. Dan is now in private practice at DavisPolk. In this Part 1 we take up the key issues around dealing with the DOJ including the factors which go into the decision to self-disclose, incentives and disincentives in compliance programs, internal investigations including who is involved and scoping an investigation, presenting information to the DOJ during the pendency of an investigation and negotiating the final settlement and post-resolution; including both ongoing reporting and continuing innovation in your compliance program.  Resources Matt Galvin on LinkedIn Dan Kahn at Davis Polk Learn more about your ad choices. Visit megaphone.fm/adchoices

Deputy Attorney General Lisa O. Monaco announced the Department of Justice's new Civil Cyber-Fraud Initiative, aimed at combatting “new and emerging cyber threats to the security of sensitive information and critical systems.” The Initiative will be led by the Department's Civil Division Commercial Litigation Branch, Fraud Section, and is a direct result of the Department's comprehensive cyber review ordered by Deputy Monaco last May.

Avi Gesser is partner in the Data Strategy & Security practice at Debevoise & Plimpton, a global law firm based in New York. He advises companies on privacy, cybersecurity and artificial intelligence matters, including incident response and data minimization. Avi has represented international financial services firms, private equity firms, hedge funds, and media organizations through large-scale data breaches and AI incidents, including coordinating with law enforcement, responding to regulatory investigations, advising boards and executives on liability issues, and defending against civil lawsuits. Avi is the primary author of the firm's Data Blog and the architect of the Firm's Data Portal, an online tool that helps clients quickly assess and comply with their cyber breach notification and AI obligations. From 2010 to 2013, Avi was the Counsel to the Chief of the Justice Department, Criminal Division's Fraud Section. Connect with Avi on LinkedIn: https://www.linkedin.com/in/avi-gesser/ Learn more about our mission and become a member here: https://www.womenindata.org/ --- Support this podcast: https://anchor.fm/women-in-data/support

In this Episode of the FCPA Compliance Report, I am joined by Bill Athanas, partner at the Waller Law Firm in Birmingham. Bill is a former DOJer in the Fraud Section who worked on FCPA enforcement actions in the first decade of the 21st century before moving to the US Attorney's Office in Birmingham. From there he moved to the Waller Law Firm. Highlights of this podcast include: His work at Main Justice and later in the US Attorney's Office in Birmingham. Nature of his current practice. Why the Principles of Federal Prosecution (PFP), Justice Manual, §9-27.001, are so critical to a white collar defense practice. A lengthy discussion of his article Am I Going to Get Indicted? UT moving to the SEC. For more information on The Waller Law Firm, check out their website here. Check out Bill's profile here. Check out Bill's article, Am I Going to Get Indicted? Learn more about your ad choices. Visit megaphone.fm/adchoices

#Silvermanipulation #classaction suit update: #JPMorgan, #CFTC, Goldman Sachs... To find out what legal options are available for gold and silver investors who have been impacted by the fraudulent actions of JP Morgan and the CFTC, click to watch this timely video now! - To contact the CFTC's oversight committee email: Emily German - (Subcommittee staff director for commodities, including oversight of the CFTC) emily.german@mail.house.gov To make a Freedom of Information Request Act Go to: https://www.foia.gov/how-to.html Some suggested records to request include: -The CFTC trading records from April 1, 2011 - May 31, 2011 -The CFTC trading records from January 1, 2021 - June 1, 2021 -JP Morgan chat transcripts (similar to what was released by Deutsche Bank) during the time period during which they've already confessed to rigging the gold and silver markets To offer financial support for legal action against JP Morgan and the CFTC go to: https://www.gofundme.com/f/will-the-cftc-honor-its-oath-in-the-silver-market To read the article about David Caron's class action case go to: https://ca.topclassactions.com/lawsuit-settlements/lawsuit-news/gold-price-class-action-lawsuit-alleges-market-manipulation/ To get information regarding the Koskie-Minsky class-action suit go to: https://kmlaw.ca/cases/gold-price-manipulation-class-action/ To get information regarding the Sotos class-action suit go to: https://sotosclassactions.com/cases/current-cases/silver-manipulation/ To get more information about the Goldfixsettlement.com suit go to: https://www.goldfixsettlement.com/ To get Jeffrey Williams' book “Manipulation on Trial" go to: https://www.amazon.com/Manipulation-Trial-Economic-Analysis-Silver/dp/0521063477/ref=sr_1_1?dchild=1&keywords=manipulation+on+trial&qid=1624569487&s=digital-text&sr=1-1-catcorr To see the information about the Justice Department settlement go to: https://www.justice.gov/opa/pr/jpmorgan-chase-co-agrees-pay-920-million-connection-schemes-defraud-precious-metals-and-us Individuals who believe that they may be a victim in this case should visit the Fraud Section's Victim Witness website at https://www.justice.gov/criminal-vns/case/jpmorgan-dpa or call (888) 549-3945. To download the Arcadia evidence files go to: https://arcadiaeconomics.com/cftc-complaint/ To read about Daniel Shak's settlement with JP Morgan go to: https://www.cnbc.com/2020/09/29/jp-morgan-settles-spoofing-lawsuit-alleging-fraud-in-metals-trades.html To contact David Kovel go to: https://www.kmllp.com/David-Kovel To post your comments on the Arcadia forum go to: https://arcadiaeconomics.com/community/ To sign the petition to support banning JP Morgan from trading gold and silver go to: https://www.ipetitions.com/petition/ban-jp-morgan-from-trading-gold-and-silver To make a Freedom of Information Request Act Go to: https://www.foia.gov/how-to.html Some suggested records to request include: -The CFTC trading records from April 1, 2011 - May 31, 2011 -The CFTC trading records from January 1, 2021 - June 1, 2021 -JP Morgan chat transcripts (similar to what was released by Deutsche Bank) during the time period during which they've already confessed to rigging the gold and silver markets To offer financial support for legal action against JP Morgan and the CFTC go to: https://www.gofundme.com/f/will-the-cftc-honor-its-oath-in-the-silver-market Chris' tip - start calculating any claims based off of past trading records now. Even if you're not exactly sure how to do it, just figure out what you can, and it gets easier after you've started:) To find out more about Silver Sands Resources go to: https://www.silversandscorp.com/ This video was sponsored by Silver, Sands Resources and Arcadia Economics does receive compensation. For our full disclaimer go to: https://arcadiaeconomics.com/disclaimer-silver-sands-resources/Subscribe to Arcadia Economics on Soundwise

In this special episode, Compliance Evangelist Thomas Fox sits in an engaging and value-packed discussion with Hui Chen, former compliance consultant to the U.S. Department of Justice's Fraud Section and now chief integrity officer for the Hawaii Attorney General's office. KEY TAKEAWAYS: ✔️ Hui advocates the need for a very interdisciplinary approach to compliance. Practitioners should become open to learning about social sciences and quantitative and qualitative studies, scientific methods, understanding how research is done, evaluating research outcomes, and evaluating the application of research. ✔️ Realize that people don't govern their daily lives by reading the codes and the regulations but with processes and behaviors, and that's what should be focused on by using a behavioral-based approach. Give the organization reason, opportunities, or motivations to NOT engage in the behavior you don't want them to do.  ✔️ What differentiates compliance officers is their knowledge and familiarity with the business. It is required to be versatile in understanding every function in the organization and working with them. Compliance professionals need to develop those skill sets to appreciate and understand and measure and be part of what the business does in all of those aspects.  ✔️ How do we measure that outcome? By going back to define what you are doing this for, if you do it successfully, what success looks like, and try to find measurements for that, that is important because that goes to whether we have all been wasting our time not with the compliance programs. Hui is an internationally renowned leader in ethics and compliance. She regularly consults with companies as well as regulatory and enforcement authorities around the world, advising them on the design, implementation, and assessment of ethics & compliance programs. Hui is also a thought leader who collaborates with leading academic researchers and publishes regularly in business and academic journals. Chen did this interview entirely in her personal capacity and nothing she said should be attributed to her office. Connect with Hui Chen Website: www.HuiChenEthics.com Twitter @HuiChenEthics                  ____________________________________________________________________ About Thomas Fox: Thomas Fox, the Compliance Evangelist®, is one of the leading writers, thinkers, and commentators on anti-bribery and anti-corruption compliance. In this latest edition of The Compliance Handbook, he continues to arm seasoned compliance professionals and those new to the realm with the practical, actionable guidance and tools needed to design, create, implement and continually enhance a best practices compliance program.   The "Nuts and Bolts" for Creating a Comprehensive Compliance Plan   This chapter of this unique work lays out a succinct yet thorough one month approach to operationalizing a company's compliance regimen. Beginning with a section on what 2020 brought to the compliance landscape, each chapter methodically outlines best practices for everything from establishing policies, procedures, and internal controls, to assessing risk, training, handling investigations, and more. Each day ends with three key takeaways you can implement at little or no cost.   Understanding Compliance Responsibility Across the Organization   The Compliance Handbook also takes a close look at all professionals' roles with compliance responsibility, from Compliance Officers and Boards of Directors to Human Resources, to Internal Audit and Internal Controls and Communications and Training professionals. Order your copy OR copies of The Compliance Handbook: A Guide to Operationalizing Your Compliance Program. Save 25% off.  http://www.lexisnexis.com/fox25

Life Under a Mature FCPA: Billy Jacobsen, a partner at Allen & Overy, who has served as the Chief Compliance Officer and Co-General Counsel of a global oilfield services company, as a federal prosecutor -- including as Assistant Chief for FCPA Enforcement in DOJ’s Fraud Section, and in private practice. He spoke with Richard Levick of LEVICK about FCPA trends, Multilateral Development Banks, the rise of Brazilian enforcement, the DOJ under Judge Merrick Garland, compliance guidelines and headline risk.

Business Ventures with Brandon Daniels In today's episode of The Compliance Podcast, Thomas Fox is joined by regulatory expert and technology practitioner Brandon Daniels, President of Exiger - Global Markets.  Tune in to the episode as Thomas and Brandon share an interesting discussion about trending compliance risks and business ventures. Major takeaways discussed in the episode:   Be reminded that third parties are essentially part of a company's ecosystem as well. Brandon Daniels emphasizes that third parties must also use compliance practices applied to the company's people, processes, and technology.  Take advantage of technological advancements, namely the ability to utilize open-source data to evaluate risk in due diligence and assessments. Recognize that holistic risk assessment is necessary to search hotspots subject to multi-factor risks. Doing so will effectively mitigate them to stay ahead of both commercial disruption and regulatory enforcement.  Be constantly reminded to avoid the risks that wipe out the profit.  Companies need to be thinking ahead beyond their business relationships and creating strong mitigation practices in times of crisis to stay relevant and economically successful.  Amid a pandemic, there are areas of growth in the market that will demand more robust compliance and more vital ESG practices.  About Thomas Fox:   Thomas Fox, the Compliance Evangelist®, is one of the leading writers, thinkers, and commentators on anti-bribery and anti-corruption compliance. In this latest edition of The Compliance Handbook, he continues to arm seasoned compliance professionals and those new to the realm with the practical, actionable guidance and tools needed to design, create, implement and continually enhance a best practices compliance program.   The "Nuts and Bolts" for Creating a Comprehensive Compliance Plan   This chapter of this unique work lays out a succinct yet thorough one-month approach to operationalizing a company's compliance regimen. Beginning with a section on what 2020 brought to the compliance landscape, each chapter methodically outlines best practices for everything from establishing policies, procedures, and internal controls, to assessing risk, training, handling investigations, and more. Each day ends with three key takeaways you can implement at little or no cost.   Understanding Compliance Responsibility Across the Organization   The Compliance Handbook also takes a close look at all professionals' roles with compliance responsibility, from Compliance Officers and Boards of Directors to Human Resources, to Internal Audit and Internal Controls and Communications and Training professionals.   In-Depth Treatment of Hot Topics and Trends   The Handbook provides an in-depth look at the latest thinking and trends for the full range of critical compliance topics, including:   • Compliance and business ventures • Third-party risk management • The Board's Role in Compliance • Continuous improvement • Compliance innovation • And much more   Incorporating Current Government Pronouncements   The Second Edition incorporates the most current government pronouncements governing best practices compliance programs, including the 2019 Evaluation of Corporate Compliance Programs released by the Fraud Section of the Department of Justice, and its 2020 Update; the updated FCPA Resource Guide 2nd edition; the Framework for OFAC Compliance Commitments; and the 2019 DOJ Antitrust Division's Evaluation of Corporate Compliance Programs in Criminal Antitrust.  Order your copy OR copies of The Compliance Handbook: A Guide to Operationalizing Your Compliance Program. Save 25% off.  http://www.lexisnexis.com/fox25

Written Standards & Great Women In Compliance with Mary Shirley & Lisa Fine The definition of a successful compliance program is not foreign for many compliance specialists. However, the challenge is to understand what it truly means for a compliance program to be effective.  Most organizations claim that the central meaning of compliance is to define and enforce guidelines and standards that can minimize the possibility of a violation of compliance. Though, the truth remains that if misconduct exists, your attempt to highlight that your compliance policy conforms with regulatory requirements will increment your culpability score and contribute to a noticeable difference in fines and jail time. To help you paddle through your compliance programs, I recently met two influential women in compliance, Lisa Fines and Mary Shirley. These phenomenal women will add transparency to these ethics and compliance concerns. We will dive into written compliance and touch base on #GWIC (Great Women In Compliance) and how it has become a powerful platform that supports compliance practitioners.   Key takeaways discussed in the episode: Know what is written compliance inside out. Understand that everybody needs to know what the rules are. But, it should not be lawyer-written, 20 pages long. Use the simplest terms possible, break things down to the absolute essential thinking.  Call to mind that the code is our ethos, and the policies are the regulations to explain them. If possible, get your message across in the shortest possible time using the least words possible. Hark back to the truth that there is no one size fits all compliance program. Thus, make learning come to life and apply it to people's job roles. As much as possible, tell people what the expectations are and help facilitate their decision-making. Factor into that it's natural to maintain your relationships with former colleagues, but It's not okay and could be risky if you talk shop with them. Support Women Empowerment and appreciate their contributions, especially in compliance. Learn how #GWIC grew into a community of great women who share valuable resources and support compliance practitioners.  About Thomas Fox: Thomas Fox, the Compliance Evangelist®, is one of the leading writers, thinkers, and commentators on anti-bribery and anti-corruption compliance. In this latest edition of The Compliance Handbook, he continues to arm seasoned compliance professionals and those new to the realm with the practical, actionable guidance and tools needed to design, create, implement and continually enhance a best practices compliance program. Incorporating Current Government Pronouncements The Second Edition incorporates the most current government pronouncements governing best practices compliance programs, including the 2019 Evaluation of Corporate Compliance Programs released by the Fraud Section of the Department of Justice, and its 2020 Update; the updated FCPA Resource Guide 2nd edition; the Framework for OFAC Compliance Commitments; and the 2019 DOJ Antitrust Division's Evaluation of Corporate Compliance Programs in Criminal Antitrust. eBooks, CDs, downloadable content, and software purchases are non-cancellable, non-refundable, and non-returnable. Click here for more information about LexisNexis eBooks. The eBook versions of this title may feature links to Lexis + for further legal research options. A valid subscription to Lexis + is required to access this content. Order your copy OR copies of The Compliance Handbook: A Guide to Operationalizing Your Compliance Program. Save 25% off.  http://www.lexisnexis.com/fox25

In this episode, hosts Payal Nanavati and Joe Records talk to partner Michael Shaheen, who recently served as a Trial Attorney with the Fraud Section of the DOJ.  Michael sheds some light on what potential FCA targets can do to understand and rebut DOJ’s use of data analytics to pursue FCA investigations.

In this episode we look inside the United Nations and its various agencies. We assess the harsh reality of endemic corruption in how governments intersect with UN agencies. Given its unique mission, the nature of how it is funded and disbursed funds largely for things such as large-scale infrastructure building, healthcare, education and peace-keeping, and the fact that its employees and officers are foreign officials under the law, the UN represents a perfect storm of corruption risk. Scott Moritz speaks to Murphy & McGonigle law partner Robert “Bob” Appleton. Bob was Chief of the first ever UN Anti-Corruption Unit, the Procurement Fraud Task Force, which existed between 2006-2010, and was responsible in part for the focus of the FCPA by the Fraud Section at DOJ.

In October 2018, the Justice Department's Criminal Division created the Appalachian Regional Prescription Opioid (ARPO), Strike Force. This team consists of federal agents, prosecutors, and specialists from different government departments. Together, they combine data analytics and law enforcement to spot dangerous prescription patterns and quickly remove bad actors from the Application Region. In its early operation, the ARPO Strike Force brought charges against 60 individuals. Combined, those charged wrote 350,000 prescriptions, supplying 24,000 patients with 32 million pills. With their collaboration, the ARPO Strike Force has streamlined several years worth of traditional work, in a matter of months. Joining us today is Joe Beemsterboer, Sr. Deputy Chief of the Fraud Section of the Department of Justice. Together we discuss the inner workings of this data-driven program that gets results. Tune in this week for a detailed look at this revolutionary program, dedicated to ending the opioid epidemic as soon as possible.

Post By: Adam Turteltaub In the latest episode of the Compliance Perspectives podcast we are joined by Daniel Kahn, the Acting Chief of the Fraud Section at the Department of Justice. We begin the conversation with a discussion of the latest iteration of the Criminal Division’s document: Evaluation of Corporate Compliance Programs. He explains that it was designed to leverage what had been learned since the last version of the document was released as well as to incorporate input from the compliance community. The DoJ, he notes, continually reevaluates its internal policies. The conversation then proceeds into a discussion of some of the main points compliance professionals -- and the business people they work with -- should take away from the document. One key piece of learning: the Criminal Division is eager to understand the thought processes behind the compliance program. They want to know, for example, not just what resources were allocated but why they were allocated. A second lesson: the Fraud Section is very eager to know if an organization is collecting data on its compliance program, integrating and using it. If that data is held in separate silos, it will not look good in a prosecutor’s eyes. We also discuss FCPA prosecutions, including the record breaking Goldman Sachs resolution and the Beam Suntory case, in which the company’s lack of cooperation was cited. Both of these very recent enforcement actions have extensive lessons for compliance teams. There is also a good conversation about due diligence, what the DoJ expects during a pandemic, and the fact that just because the business may have shrunk its workforce by 10% doesn’t mean that the risk profile has been reduced by 10% and the compliance team should be cut by 10%. Listen in to learn more about how to improve the effectiveness of your compliance program and what the DoJ is looking for if it starts examining your efforts.

Steve Spiegelhalter is the North American Investigations Practice Leader and Managing Director at Alvarez & Marsal. As a former federal prosecutor with the US Department of Justice's Criminal Division, Fraud Section, and the Foreign Corrupt Practices Act (FCPA) Unit, Steve has intimate experience in investigating complex criminal and civil affairs and implementing compliance programs. He joins Vince Walden to discuss the future of conducting internal investigations. Steve talks about the improvements GCs and CCOs have made in internal investigations over the last five years. They have evolved their in-house skills and resources. Additionally, they have gotten better at interacting with external counsel to solve matters more efficiently.  COVID-19 has highlighted that foreign corrupt practices and corruption are long-term risks that are becoming more prominent. There has been a rise in fraud issues since the workplace has shifted to remote. Behaviors of malpractice that would have gone unnoticed are now being laid bare.  Resources Steve Spiegelhalter on LinkedIn AlvarezandMarsal.com

Andrew Weissmann, former Veteran DOJ Prosecutor, Chief of the Fraud Section, Former General Council of the F.B.I. and former top Deputy in Robert Mueller's Investigation joins Michael Isikoff and Daniel Klaidman on "Skullduggery." Weissmann discuss his new book, Where Law Ends: Inside the Mueller Investigation. It's our first look inside the Russia probe that is still and ankle weight to President Trump to this day. In the controversial book, Weissmann describes where Mueller went wrong and where things could have gone further, all while taking some shots at former colleagues. See acast.com/privacy for privacy and opt-out information.

In this HCI Podcast episode, Dr. Westover talks with Linda Lattimore about corporate social responsibility programs to make a sustainable social impact. See the video here: https://youtu.be/RtTSZ_J105A. Linda Lattimore (www.lindalattimore.com) is a seasoned lawyer, corporate executive and business strategist. Linda has worked as the lead counsel for various multinational corporations and as the Chief of the Fraud Section of the US Attorney's Office, Southern District of Texas where she first chaired many noteworthy trials. Her international, corporate and litigation background have given her the tools to provide astute guidance and counsel in today's changing and highly regulated climate. An American who lived for many years in Peru and Mexico, Linda is fluent in Spanish, conversant in French and has traveled extensively throughout the world with her work. Linda is a well-regarded speaker who believes that social responsibility is critical to competitive edge. She often consults on this new norm of business encouraging clients to create thriving social responsibility programs which have a direct impact on their bottom line. She is the Founder of Cross Sector Institute (www.xsectorinstitute.com) which includes Cross Sector Law (an educational platform (CLE) by and for socially responsible attorneys), Cross Sector Gives (a community give-back program) and Cross Sector Advantage (which offers small companies a toolkit to set up their own programs allowing them to compete in a world where social responsibility requisites have become the norm).

Jay and I are back to consider some of the top compliance articles and stories which caught our eye this week. Of course, we look into the MLB sign-stealing scandal which has embroiled the Houston Astros, may embroil the Boston Red Sox and let to the Mets firing their newest manager before he managed one game.  1.     MLB lays down the hammer on the Astros. Are the Red Sox next? Tom’s multipart series. His cognitive dissonance is explored in the FCPA Blog.  2.     Mike Volkov says its time to move from reactive to proactive compliance, in a 3-part series on Corrruption Crime and Compliance.  3.     What do DOJ changes mean for the compliance practitioner? Jay explores in his CCI series.  4.     What is the SEC Enforcement Network? Verity Winship explains in NYU’s Compliance and Enforcement Blog.  5.     Will the Fraud Section now refocus on commodities trading cases? Aitan Goelman in NYU’s Compliance and Enforcement Blog.  6.     What are Red Flags? Gini Dietrich explains in Spin Sucks. Harry Cassin says look out for expensive watches, in the FCPA Blog.  Corporate governance and behavioral ethics in the Harvard Law Review on Corporate Governance.  8.     The trouble with transparency. Vera Cherepanova explains in the FCPA Blog.  9.     How Queen informs your compliance program (Hint: Pressure). Matt Kelly, the coolest guy in compliance in Radical Compliance.  10.  On the Compliance Podcast Network, Tom continues his 31 Days to a More Effective Compliance Program series.This week saw the following offerings: Day 13 reviews institutional justice ; Day 14considers risk assessments; Day 15 looks at evaluating a risk assessment; Day 16 details the 3rd party risk management process; Day 17 explains how to manage a 3rd party. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

In the Episode, I visit with Ephraim (Fry) Wernick. He is a partner in the Government Investigations and White-Collar Practice Group at Vinson & Elkins LLP in Washington, DC. Mr. Wernick joined V&E in June 2019 after serving 11 years as a federal prosecutor, including most recently as Assistant Chief of the U.S. Department of Justice, Criminal Division’s Fraud Section, where he supervised dozens of FCPA cases, including four of the largest-ever corporate criminal resolutions. Mr. Wernick now represents public and private companies and individuals in connection with government and internal investigations. Mr. Wernick is a graduate of Brown University and the University of Texas School of Law. In this podcast we take a deep dive into the jury instructions in the recent Hoskins FCPA trial. Some of the highlights include: What was the procedural history of the Hoskins case leading up to trial? The court’s agency instruction required the government to establish three elements: (1) “a manifestation by the principal that the agent will act for it”; (2) “acceptance by the agent of the undertaking”; and (3) “an understanding between the agent and the principal that the principal will be in control of the undertaking.” The court further instructed that “[t]he undertaking consists of the acts or services which the agent performs on behalf of the principal.” Hoskins’ arguments focus primarily on the element of control. Did the DOJ satisfy this element? At trial, the DOJ presented evidence that although Hoskins worked for the French parent, for the purposes of his actions around bribery and corruption, he was the agent of the US subsidiary. What was some of evidence presented at trial to show agency? Will it be enough to satisfy the Second Circuit definition in the inevitable appeal? At the ACI National Conference, Assistant Attorney General Brian Benczkowski said that the DOJ would analyze each case individually to determine if there was such an agency relationship present. What will the DOJ likely take into account? Might there be further clarification from the trial court or Second Circuit? Does the DOJ trial win against Hoskins open up wider individual prosecutions under the FCPA for foreign employees of foreign subsidiaries who may never set foot in the US? Resources Vinson and Elkins’ firm page on Fry Wernick Learn more about your ad choices. Visit megaphone.fm/adchoices

In 2006, Purdue Pharma was under fire for falsely advertising the addictiveness of its opioid, OxyContin. Many families believed that handcuffs were the only justifiable punishment, and the Department of Justice (DOJ) seemed to agree. Yet, somehow Giuliani Partners LLC managed to reach a settlement for Purdue Pharma and it’s top three executives. Effectively telling all of Big Pharma that the deaths of thousands of Americans were just the cost of doing business. However, in August 2019, The Weekly, a New York Times documentary TV series, released an episode profiling a leaked prosecution memo. The memo detailed that government investigators believed Purdue Pharma knew OxyContin was fueling a rise in addiction and had damning evidence to prove it. Why did this memo take more than a decade to come to light? Had its contents been exposed, would it have mitigated the opioid crisis? Who was behind the decision to settle with the drug manufacturer responsible for igniting our country’s worst health crisis in history? We’re joined today by Paul Pelletier, the former Deputy Chief of the DOJ’s Fraud Section of Criminal Division, and by returning guests Dave Aronberg, State Attorney of Palm Beach County, and Chris McGreal, award-winning author of American Overdose, and opioid crisis expert. Together, we explore what really happened with the proposed indictment of Purdue Pharma and their three top-ranking executives, and the lost opportunity to make them pay. Tune in to our PPT podcast for an inside perspective on NYT’s leaked prosecution memo, and the many unanswered questions left by the 2006 case against Purdue Pharma.

In this episode, host Mana Lombardo speaks with Will Chang, partner in the firm’s Health Care and White Collar & Regulatory Enforcement groups and a former trial attorney at the DOJ Criminal Division, Fraud Section; and Yuan Zhou, an associate in the firm’s Government Contracts Group, to discuss the recent impact of the Brand Memo on FCA enforcement. "Let's Talk FCA" is Crowell & Moring’s podcast covering the latest developments with the False Claims Act.

"Let's Talk FCA" is Crowell & Moring’s podcast covering the latest developments with the False Claims Act. In this episode, hosts Mana Lombardo and Jason Crawford interview Will Chang, a partner in the firm’s Health Care and White Collar & Regulatory Enforcement groups and a former trial attorney at the DOJ Criminal Division, Fraud Section, on health care fraud and FCA issues.

On January 10th, Michael Granston, the Director of the Commercial Litigation Branch within the United States Department of Justice’s Fraud Section, issued a memo that establishes an outline for DOJ attorneys to utilize when deciding whether or not to dismiss a False Claims Act qui tam case.The memo affirms statements Granston made at a health care compliance conference in 2017, in which Granston indicated the DOJ might start dismissing qui tam causes of action brought by False Claims Act relators when it is determined the actions lack merit. 31 U.S.C. § 3730(c)(2)(A) provides that the government has a right to dismiss a qui tam action “notwithstanding the objections of the person initiating the action” by filing a motion with the court and provided the relator has had an opportunity to be heard. This ability in the past has been rarely used, and this memo could signify a significant shift in future DOJ practices.Brandon J. Moss will join us to discuss the memo and its implications. Featuring: Brandon J. Moss, Associate, Wiley Rein

On January 10th, Michael Granston, the Director of the Commercial Litigation Branch within the United States Department of Justice’s Fraud Section, issued a memo that establishes an outline for DOJ attorneys to utilize when deciding whether or not to dismiss a False Claims Act qui tam case.The memo affirms statements Granston made at a health care compliance conference in 2017, in which Granston indicated the DOJ might start dismissing qui tam causes of action brought by False Claims Act relators when it is determined the actions lack merit. 31 U.S.C. § 3730(c)(2)(A) provides that the government has a right to dismiss a qui tam action “notwithstanding the objections of the person initiating the action” by filing a motion with the court and provided the relator has had an opportunity to be heard. This ability in the past has been rarely used, and this memo could signify a significant shift in future DOJ practices.Brandon J. Moss will join us to discuss the memo and its implications. Featuring: Brandon J. Moss, Associate, Wiley Rein

Show Notes for Episode 56, for the week ending June 9, the Who’s On First Edition  This week, Jay and I have a wide-ranging discussion on some of the week’s top compliance related stories. We discuss:  The Kokesh case at the US Supreme Court is significant for SEC enforcement of the FCPA around profit disgorgement. For what it means to the compliance practitioner, see Tom’s piece in the FCPA Compliance & Ethics Blog. For a legal review of the decision, see Miller & Chevalier  client alert authored by Saskia Zandieh. Marc Bohn considered the cased in the FCPA Blog. Marc and I discuss the case on the FCPA Compliance Report,  Episode 332.Trevor McFadden to leave the DOJ for federal bench. See article by Matt Kelly in  Radical Compliance. Hui Chen’s contract not to be renewed, her position is posted for job applicants. Apply for the position  here. Andrew Weissman leaves as head of the Fraud Section to go Special Prosecutor’s staff.Former PetroTiger General Counsel Gregory Weismann is banned from SEC practice. See article in the  FCPA Blog. Matthew Stephenson considers what a Wal-Mart settlement might look like. See his article in the  Global Anti-Corruption Blog.The federal judge who sentenced Samuel Mebiame, the bag man for Och-Ziff; criticized the DOJ for its lack of prosecution of any individuals from the company. See article by Sam Rubenfeld in  WSJ Risk and Compliance Report.Jay previews his weekend report.Tom continues to talk about the release of his new book 2016 – The Year in Corporate FCPA Enforcement. For more information and to purchase, click  here. Jay Rosen can be reached:  Mobile (310) 729-6746 Toll Free (866)-201-0903 JRosen@affiliatedmonitors.com  Tom Fox can be reached:        Phone: 832-744-0264        Email: tfox@tfoxlaw.com       Learn more about your ad choices. Visit megaphone.fm/adchoices

Show Notes for Episode 56, for the week ending June 9, the Who’s On First Edition  This week, Jay and I have a wide-ranging discussion on some of the week’s top compliance related stories. We discuss:  The Kokesh case at the US Supreme Court is significant for SEC enforcement of the FCPA around profit disgorgement. For what it means to the compliance practitioner, see Tom’s piece in the FCPA Compliance & Ethics Blog. For a legal review of the decision, see Miller & Chevalier client alert authored by Saskia Zandieh. Marc Bohn considered the cased in the FCPA Blog. Marc and I discuss the case on the FCPA Compliance Report, Episode 332. Trevor McFadden to leave the DOJ for federal bench. See article by Matt Kelly in Radical Compliance. Hui Chen’s contract not to be renewed, her position is posted for job applicants. Apply for the position here. Andrew Weissman leaves as head of the Fraud Section to go Special Prosecutor’s staff. Former PetroTiger General Counsel Gregory Weismann is banned from SEC practice. See article in the FCPA Blog.  Matthew Stephenson considers what a Wal-Mart settlement might look like. See his article in the Global Anti-Corruption Blog. The federal judge who sentenced Samuel Mebiame, the bag man for Och-Ziff; criticized the DOJ for its lack of prosecution of any individuals from the company. See article by Sam Rubenfeld in WSJ Risk and Compliance Report. Jay previews his weekend report. Tom continues to talk about the release of his new book 2016 – The Year in Corporate FCPA Enforcement. For more information and to purchase, click here.  Jay Rosen can be reached:  Mobile (310) 729-6746 Toll Free (866)-201-0903 JRosen@affiliatedmonitors.com  Tom Fox can be reached:        Phone: 832-744-0264        Email: tfox@tfoxlaw.com       Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode, Jay Rosen reports live from the ABA White Collar Conference at the Fontainebleau Hotel in Miami.  In addition to providing his insights on the highlights of the conference and the buzz around the new Justice Department Evaluation of Corporate Compliance Programs document released in February, we discuss: Adam Davidson’s piece in the New Yorker Magazine entitled, “Donald Trump’s Worst Deal” which looks at a Trump organization transaction in Azerbaijan which raises both FCPA and sanctions issues. The newly revamped Justice Department’s Fraud Section’s website. Highlight the rollout of the International Association of Independent Certified Monitors’ (IAICM) new website. Review the week’s FCPA related issues. Take a deep dive into the blockbuster trade announced between the Houston Texans and Cleveland Browns where the Texans sent their starting QB and a second round pick to the Browns for a fourth round pick in return (who says Texans are not great horse-traders!) Jay previews his weekend report. Tom reports on a talk about 3rd party ROI at the upcoming Third-Party Risk Management & Oversight Summit, on March 20 & 21 at the Princeton Club in New York City. Listeners to this podcast will receive a 15% discount off of the regular price of the event. To take advantage of this offer enter the Code CMP 161. For more information on the event, check out the website by clicking here.  Jay Rosen new contact information:  Jay Rosen, CCEP Vice President, Business Development Monitoring Specialist  Affiliated Monitors, Inc. Mobile (310) 729-6746 Toll Free (866)-201-0903 JRosen@affiliatedmonitors.com Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode, Jay Rosen reports live from the ABA White Collar Conference at the Fontainebleau Hotel in Miami.  In addition to providing his insights on the highlights of the conference and the buzz around the new Justice Department Evaluation of Corporate Compliance Programs document released in February, we discuss: Adam Davidson’s piece in the New Yorker Magazine entitled, “Donald Trump’s Worst Deal” which looks at a Trump organization transaction in Azerbaijan which raises both FCPA and sanctions issues.The newly revamped Justice Department’s Fraud Section’s website.Highlight the rollout of the International Association of Independent Certified Monitors’ (IAICM) new website.Review the week’s FCPA related issues.Take a deep dive into the blockbuster trade announced between the Houston Texans and Cleveland Browns where the Texans sent their starting QB and a second round pick to the Browns for a fourth round pick in return (who says Texans are not great horse-traders!)Jay previews his weekend report.Tom reports on a talk about 3rd party ROI at the upcoming Third-Party Risk Management & Oversight Summit, on March 20 & 21 at the Princeton Club in New York City. Listeners to this podcast will receive a 15% discount off of the regular price of the event. To take advantage of this offer enter the Code CMP 161. For more information on the event, check out the website by clicking here. Jay Rosen new contact information:  Jay Rosen, CCEP Vice President, Business Development Monitoring Specialist  Affiliated Monitors, Inc. Mobile (310) 729-6746 Toll Free (866)-201-0903 JRosen@affiliatedmonitors.com Learn more about your ad choices. Visit megaphone.fm/adchoices

The Justice Department Fraud Section recently revamped its website and it is quite an upgrade. I do not know when the Fraud Section did this update but as with the Evaluation of Corporate Compliance Programs document, it certainly was a soft launch. It appears the new site compiles several disparate sources of Fraud Section and Justice Department information into one website. Also, there looks to my eye to be some information posted on the Fraud Section website for the first time. In short, it is an excellent and most welcomed resource. A quick review of the site has a slide show of recent Justice Department resolutions scrolling across the screen. Go down to the bottom of the screen and you will see two very interesting documents, a 2015 and 2016 Fraud Section Year in Review. The FCPA Unit section includes such information as prior enforcement actions, Opinion Releases, other anti-corruption treaties and resources. There is also a list of Fraud Section leadership. However, the Fraud Section is made up of more than simply the FCPA unit and there are tabs for the following Health Care Fraud and Securities and Financial Fraud. Most interesting to me was the tab for the Strategy, Policy and Training Unit, which I have to admit, did not know was a part of the Fraud Section. The opening page for this Unit provides a description of its work. It is as wide ranging as international coordination and interaction with foreign prosecutors and investigators.  This new website revamp is a most welcomed resource for the compliance community. While it may be viewed as simply a compilation of other sites and locations within the greater Justice Department website by some; I believe the vast majority of compliance practitioners will find it a most welcomed compilation and resource. Learn more about your ad choices. Visit megaphone.fm/adchoices

The Justice Department Fraud Section recently revamped its website and it is quite an upgrade. I do not know when the Fraud Section did this update but as with the Evaluation of Corporate Compliance Programs document, it certainly was a soft launch. It appears the new site compiles several disparate sources of Fraud Section and Justice Department information into one website. Also, there looks to my eye to be some information posted on the Fraud Section website for the first time. In short, it is an excellent and most welcomed resource. A quick review of the site has a slide show of recent Justice Department resolutions scrolling across the screen. Go down to the bottom of the screen and you will see two very interesting documents, a 2015 and 2016 Fraud Section Year in Review. The FCPA Unit section includes such information as prior enforcement actions, Opinion Releases, other anti-corruption treaties and resources. There is also a list of Fraud Section leadership. However, the Fraud Section is made up of more than simply the FCPA unit and there are tabs for the following Health Care Fraud and Securities and Financial Fraud. Most interesting to me was the tab for the Strategy, Policy and Training Unit, which I have to admit, did not know was a part of the Fraud Section. The opening page for this Unit provides a description of its work. It is as wide ranging as international coordination and interaction with foreign prosecutors and investigators.  This new website revamp is a most welcomed resource for the compliance community. While it may be viewed as simply a compilation of other sites and locations within the greater Justice Department website by some; I believe the vast majority of compliance practitioners will find it a most welcomed compilation and resource. Learn more about your ad choices. Visit megaphone.fm/adchoices

Yesterday I began a two-part series on the Department of Justice (DOJ’s) “Evaluation of Corporate Compliance Programs” (Evaluation) posted on the Fraud Section in February. The document is an 11-part list of questions which encapsulates the DOJ’s most current thinking on what constitutes a best practices compliance program. Within the list are some 46 different questions that a Chief Compliance Officer (CCO) or compliance practitioner can use to benchmark a compliance program. In short, it is an incredibly valuable and most significantly useful resource for every compliance practitioner. Three Key Takeaways This DOJ Evaluation provides clear guidance on the expectations of government regulators regarding what your program should consist of, how it should be effected and where you need to go down the road. It is also a valuable teaching tool as you can lay out for your Board and senior management the clear requirements for any best practices compliance program. The document also re-emphasizes that you should listen when the DOJ communicate their expectations around compliance. Beginning with the initial public remarks of Hui Chen and comments by former Assistant Attorney General Leslie Caldwell in November 2015, through the announcement of the FCPA Pilot Program in April 2016 and subsequent public remarks by Caldwell, Sally Yates and Daniel Kahn, the DOJ has consistently articulated the need for the operationalization of a corporate compliance program. Indeed, one can draw a straight-line from Caldwell’s November 2015 remarks at the SIFMA Compliance and Legal Society New York Regional Seminar where she presented the requirements to operationalize compliance in discussing compliance program metrics. Any company which simply puts a paper program in place, whether it is certified or not, and then sits back on its collective hands, is in for a very rude awakening if it comes before the DOJ in an investigation or enforcement action. For it is in operationalization of your compliance program that the DOJ will give credit to a functioning compliance program.  This month’s podcast series is sponsored by Oversight Systems, Inc. Oversight’s automated transaction monitoring solution, Insights On Demand for FCPA, operationalizes your compliance program. For more information, go to OversightSystems.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

Last month, the Department of Justice (DOJ) very quietly released a document, entitled “Evaluation of Corporate Compliance Programs” (Evaluation), on the Fraud Section website. The document is an 11-part list of questions which encapsulates the DOJ’s most current thinking on what constitutes a best practices compliance program. Within the list are some 46 different questions that a Chief Compliance Officer (CCO) or compliance practitioner can use to benchmark a compliance program. In short, it is an incredibly valuable and most significantly useful resource for every compliance practitioner. The document has one clear theme that I will be exploring this month—you must operationalize your compliance program. The Evaluation, most generally, follows the DOJ and Securities and Exchange Commission’s (SEC) seminal Ten Hallmarks of an Effective Compliance Program, released in the 2012 FCPA Guidance. If there is one over-riding theme in the Evaluation, it is the DOJ’s emphasis on doing compliance as the questions posed are designed to test how far down your compliance program is incorporated into the fabric of your organization. The Evaluation is not simply a restatement of the Ten Hallmarks, as it clearly incorporates the DOJ’s evolution in what constitutes a best practices compliance program, and it certainly builds upon the information put forward in the DOJ’s FCPA Pilot Program regarding effective compliance programs, most particularly found in Prong 3 Remediation. Once again, I detect the hand of DOJ Compliance Counsel Hui Chen in not only helping the DOJ to understand what constitutes an effective compliance program but also providing solid information to the greater compliance community on this score.   Three Key Takeaways The DOJ Evaluation requires you to operationalize your compliance program. The DOJ Evaluation makes clear compliance is a business process. The DOJ Evaluation is significant for what it does not focus on, legal solutions or even legal language. This month’s podcast series is sponsored by Oversight Systems, Inc. Oversight’s automated transaction monitoring solution, Insights On Demand for FCPA, operationalizes your compliance program. For more information, go to OversightSystems.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode, Matt Kelly and myself take a deep dive into the Department of Justice (DOJ) recent release, entitled “Evaluation of Corporate Compliance Programs” (Evaluation), which went up on the Fraud Section website on February 8. The document is an 11-part list of questions which encapsulates the DOJ’s most current thinking on what constitutes a best practices compliance program. Within the list are some 46 different questions that a Chief Compliance Officer (CCO) or compliance practitioner can use to benchmark a compliance program. In short, it is an incredibly valuable and most significantly useful resource for every compliance practitioner. The Evaluation, most generally, follows the DOJ and Securities and Exchange Commission’s (SEC) seminal Ten Hallmarks of an Effective Compliance Program, released in the 2012 FCPA Guidance. If there is one over-riding theme in the Evaluation, it is the DOJ’s emphasis on doing compliance as the questions posed are designed to test how far down your compliance program is incorporated into the fabric of your organization. The Evaluation is not simply a restatement of the Ten Hallmarks, as it clearly incorporates the DOJ’s evolution in what constitutes a best practices compliance program, and it certainly builds upon the information put forward in the DOJ’s FCPA Pilot Program regarding effective compliance programs, most particularly found in Prong 3 Remediation. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode, Matt Kelly and myself take a deep dive into the Department of Justice (DOJ) recent release, entitled “Evaluation of Corporate Compliance Programs” (Evaluation), which went up on the Fraud Section website on February 8. The document is an 11-part list of questions which encapsulates the DOJ’s most current thinking on what constitutes a best practices compliance program. Within the list are some 46 different questions that a Chief Compliance Officer (CCO) or compliance practitioner can use to benchmark a compliance program. In short, it is an incredibly valuable and most significantly useful resource for every compliance practitioner. The Evaluation, most generally, follows the DOJ and Securities and Exchange Commission’s (SEC) seminal Ten Hallmarks of an Effective Compliance Program, released in the 2012 FCPA Guidance. If there is one over-riding theme in the Evaluation, it is the DOJ’s emphasis on doing compliance as the questions posed are designed to test how far down your compliance program is incorporated into the fabric of your organization. The Evaluation is not simply a restatement of the Ten Hallmarks, as it clearly incorporates the DOJ’s evolution in what constitutes a best practices compliance program, and it certainly builds upon the information put forward in the DOJ’s FCPA Pilot Program regarding effective compliance programs, most particularly found in Prong 3 Remediation. Learn more about your ad choices. Visit megaphone.fm/adchoices