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RiskWatch is a due diligence and compliance podcast featuring interviews with leading compliance, investigations, and research professionals. RiskWatch is brought to you by Vcheck Global, a leading due diligence provider to help vet entities and individuals globally.
37 Episodes
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Amy Caizza, a Partner at Wilson Sonsini, discusses new proposed rules by FinCEN that would see a significant expansion of AML / CFT obligations for Registered Investment Advisers, Venture Capital Advisers, and Private Fund Advisers. This could mean a significant addition to advisers’ obligations when screening potential investors. Here is a link to the recent alert that the firm published on the proposed rule as well as a link to Amy’s bio and contact information.Amy is leader of the firm’s fintech and financial services group, which is recognized as a leading U.S. fintech practice by Chambers FinTech.
Daniel Wendt, a member at Miller & Chevalier, discusses the new Foreign Extortion Prevention Act that was signed into law by President Biden in December 2023. FEPA was designed to prevent extortion by foreign officials and criminalizes the act of foreign officials demanding bribes addressing a potential gap in the FCPA. Here is a link to a recent alert that Miller & Chevalier published on FEPA as well as a link to Daniel’s bio and contact information.
Evan Abrams is an Associate at Steptoe & Johnson and advises clients on issues related to anti-money laundering and anti-corruption, among others. He came on the show to discuss FinCEN’s recent proposed rule targeting digital asset mixers. The proposed rule is part of an effort by the Department of Treasury to crackdown on cryptocurrency anonymity services such as digital asset mixers which can be used as a money laundering tool by rogue states, terrorist organizations, and criminals. The issuance of the proposed rule comes on the heels of the October 7 Hamas attack as the group has been accused of using digital asset mixers. You can get in touch with Evan at this link and a link to the related piece he co-authored on the Steptoe website is here.
David Rybicki and Neil Smith of the law firm K&L Gates discuss the new Department of Justice Safe Harbor Policy for voluntary self-disclosure made in connection with M&A. The discussion covers several different focus points, including concerns that need to be top of mind for acquirers, key industries to watch, and the growing importance of deeper due diligence, both pre and post deal. You can find links to David and Neils’ contact information here (David) and here (Neil) as well as the US Policy and Regulatory Alert on the Safe Harbor Policy that the firm published on their website. David Rybicki and Neil Smith is co-lead K&L Gates’ White Collar Defense and Investigations practice Group that focuses on government investigations, securities enforcement, internal investigations, and white collar defense representations.
Ann Sultan and Alexandra Beaulieu of the law firm Miller & Chevalier came on the show to discuss recent enforcement developments and trends concerning the Foreign Corrupt Practices Act. Ann is a Partner and Vice Chair of the International Department at the firm and provides public companies and private organizations with advice on a wide range of enforcement, ethics and compliance topics. Alexandra is an Associate at the firm and focuses her practice on the design and implementation of risk-based corporate compliance programs and internal and government investigations. You can find a link to a recent review of FCPA enforcement trends and developments published by the firm here.
Mike Blankenship came back on the show to discuss the IPO underwriting process, the role of due diligence and the state of the IPO market. Mike is a Managing Partner at the Houston office of Winston & Strawn and focuses his practice on corporate finance and securities law, including securities offerings, public company advisory, special purpose company offerings, among others. You can find a link to Mike's bio and contact information on the Winston & Strawn website here as well as a link to the Underwriting Process presentation that the firm published in May here.
Carrie LeRoy and Charles Walker of the lawfirm Gibson Dunn discuss key takeaways from a bulletin they published on the Gibson Dunn website titled M&A Report: Top Technology Sector-Specific Legal Diligence Concerns in Acquisitions. They discussed the pitfalls that exist for technology acquisitions from intellectual property ownership to cyber security to bribery and corruption risks from third parties. Below is a link to the bulletin as well as links to their bios on the Gibson Dunn website to get in touch.Gibson Dunn BulletinCarrie LeRoy BioCharles Walker Bio
Laura Black and Christian Davis of the lawfirm Akin Gump discuss the likelihood and implications of an outbound investment regulation regime to protect US national security interests that would screen and monitor outbound investment from the United States to “countries of concern”. You can check out recent thought leadership published by the firm here as well as information on how to get in touch.
Kenneth Nunnenkamp is a partner with Morgan Lewis and represents clients in international trade and national security matters. He came on the show to speak about what the Corporate Transparency Act (CTA) is and its implications for companies and financial institutions going forward. You can read recent material published by Morgan Lewis on the CTA here.
Clare Connellan, Partner in White & Case’s London office and Head of the firm's Business & Human Rights Interest Group, joins the RiskWatch podcast to share strategies for ensuring compliance with Modern Slavery and Supply Chain regulations, including the Uyghur Forced Labor Prevention Act and the German Supply Chain Act. This conversation covers:00:00 - 00:49 Introduction00:50 - 02:54 An overview of White & Case’s Business & Human Rights Interest Group02:55 - 03:59 Clare’s path to human rights due diligence04:00 - 05:55 Best practices for legal teams 05:56 - 06:51 Starting point for overwhelmed compliance officers06:52 - 09:50 The Uyghur Forced Labor Prevention Act09:51 - 13:07 The German Supply Chain Act13:08 - 15:28 Increasing scrutiny of corporate social statements 15:29 - 16:32 Growth of human rights-focused compliance roles16:33 - 17:44 Regulations to watch
Founder of Kaya Advisors and former Tilray EU Alliance Manager, Steven Arthur George, joins the RiskWatch podcast to discuss risk and opportunity in the corporate cannabis space, including recreational legalization in Germany and the evolution of third party relationships. This conversation covers:00:31 - 00:51 Introduction 00:52 - 05:50 Steve’s trans-Atlantic cannabis journey05:51 - 11:30 Comparing the European and US corporate cannabis markets11:31 - 14:00 Market growth predictions14:01 - 15:42 The corporate cannabis risk landscape15:43 - 18:59 The evolution of third party risk in the cannabis industry19:00 - 22:14 Vetting local partners22:15 - 27:29 Supply chain struggles and human rights concerns27:30 - 29:00 Partnership hesitations of traditional industries29:01 - 32:45 Engaging the cannabis community on social media
Randy Bullard, partner in Morrison Foerster’s Corporate Department and Latin America Desk co-chair, joins the RiskWatch podcast to discuss ESG (environmental, social, and governance) investing in Latin America. This conversation covers:00:46 - 01:49 Randy’s work at Morrison Foerster01:50 - 02:46 Green energy observations02:47 - 05:16 Overlooked markets and points of entry for investors05:17 - 06:41 Due diligence’s role in Randy’s work06:42 - 07:58 Compliance and reputational risks for ESG investors 07:59 - 09:02 The COVID-19 Pandemic’s impact on ESG awareness 09:03 - 11:19 Investor concerns surrounding sustainability-linked and green bonds 11:20 - 12:57 Monitoring political and regulatory movement 12:58 - 14:39 Upcoming elections in Colombia, Chile and Brazil14:40 - 15:48 Regional events to watch15:59 - 17:16 Resumption of in-person deal making 17:17 - 19:00 Rising interest in ESG and sustainable investing19:00 - 20:23 Morrison Foerster’s LATAM and ESG practices
Nancy Jacobson, Counsel, Global Compliance and Ethics at United Airlines, joins Vcheck Global’s Seth Harlan to talk third party risk management (TPRM) and the airline industry. Episode highlights include Nancy’s non-traditional career path, how United recognizes and remediates risk, and compliance challenges facing the airline industry.This conversation covers:0:45 - 02:47 Nancy’s non-traditional path to compliance02:48 - 04:24 United’s third party environment04:25 - 07:03 United’s third party risks07:04 - 08:57 TPRM platforms08:58 - 12:18 Red flag escalation12:19 - 13:11 United’s remediation process13:12 - 14:18 Involvement of investigative teams14:19 - 19:47 Anti-bribery and corruption issues for an international workforce19:48 - 23:28 TPRM pandemic pivots23:29 - 26:09 Supply chain issues facing airlines
Tom Stocks, senior investigator with the Organized Crime and Reporting Project joins RiskWatch to discuss the challenges of tracking oligarch assets including industries and locales warranting scrutiny and the ways oligarchs hide their assets.Learn more at https://vcheckglobal.com/news.
Mike Blankenship, managing partner of Winston & Strawn's Houston office, returns to Vcheck Global's podcast RiskWatch to discuss De-SPAC due diligence priorities, M&A sectors and regions to watch, and risks facing biotech and digital health investors.Learn more at https://vcheckglobal.com/news.
Hot on the heels of Transparency International’s recently released 2021 Corruption Perceptions Index, Vcheck Global’s Seth Harlan speaks with James Cohen, Executive Director of Transparency International Canada and Shanti Salas, VP, North America, for OpenCorporates for the latest episode of the RiskWatch podcast.Learn more at https://vcheckglobal.com/news.
Richard Sutherland, Vice President of Human Intelligence at Vcheck Global, joins colleagues Alex Sorin, Vice President of Global Diligence Markets, and Seth Harlan, host of RiskWatch, to help demystify source inquiries and discuss what trends Vcheck saw in 2021 and what 2022 is expected to bring in regards to emerging risk issues and source inquiries jurisdictions.Learn more at https://vcheckglobal.com.
With the Securities Regulation Institute’s 49th Annual Conference underway, Vcheck Global’s Seth Harlan speaks with Elaine Greenberg, Shareholder at Greenberg Traurig LLP and former senior officer in the the United States Securities and Exchange Commission’s (SEC) Enforcement Division. Highlights from this RiskWatch podcast episode include anticipated changes in the types of sanctions and relief sought by the SEC in its enforcement actions, the Enforcement Division’s prioritization of Environmental, Social, and Corporate Governance (ESG), and the SEC’s cybersecurity enforcement actions.Learn more at https://vcheckglobal.com/news.
With the Securities Regulation Institute’s 49th Annual Conference underway, Vcheck Global’s Seth Harlan speaks with Mellissa Duru, Special Counsel at Covington & Burling LLP and former Sr. Special Counsel at the United States Securities and Exchange Commission (SEC). Highlights from this RiskWatch podcast episode include Environmental, Social, and Corporate Governance (ESG) benchmarking standards and disclosures forecasting, tips for starting an ESG program, and the impact of ESG issues on cryptocurrency investment.Learn more at https://vcheckglobal.com.
To kick off CRE Finance Council’s January Conference 2022, Vcheck Global’s Seth Harlan speaks with Jack Cohen, President and Chief Innovation Officer of Stronghill Capital, a subsidiary of ArrowMark Partners, and past Chairman of the Commercial Real Estate Finance Council for our latest episode of RiskWatch. Highlights from this RiskWatch podcast episode include property types to watch this year and Jack’s thoughts on reputational risk and risk tolerance in the lending space.
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