Compliance into the Weeds

Compliance Issues in 2020, Part 2

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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.


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    Compliance into the WeedsBy Tom Fox
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