Conversation between Professor Jon Smollen and Michael Donnella, incoming Director and Professor of the Center for Compliance and Ethics

Professor Jon Smollen, founder of the Temple Law Center for Compliance and Ethics, asks Michael Donnella, the incoming Director of the center, about his experience and plans to expand compliance and ethics education at Temple Law.

The Compliance Monthly: A CONVERSATION WITH JESSICA WINCHELL, VICE PRESIDENT FOR COMPLIANCE AT BROWN BROTHERS HARRIMAN TRUSTEE SERVICES IN IRELAND

Jessica Winchell, Vice President of Compliance with Brown Brothers Harriman, describes her path to a career in compliance, skills necessary to succeed in the field, and how her time at Temple Law helped to shape her professional life.

The Compliance Monthly: The Government’s Prioritization of Information Over Sanction

As part of Temple Law’s Faculty Spring Colloquium Series, Professor Veronica Root Martinez presented her paper: The Government’s Prioritization of Information Over Sanction: Implications for Compliance. Professor Martinez teaches at Notre Dame Law School and is also the Director of the Program on Ethics, Compliance & Inclusion.

The Compliance Monthly: How To Empower Local Ethics and Compliance Champions With The Right Technology

This Month from the Temple Law Center for Compliance and Ethics: Ethics and compliance champions play a critical role in enhancing program effectiveness with technology and personal leadership. A trusted champion can encourage more people to speak up internally, early and often. A human review system in business units and local offices where risks occur is one of the biggest opportunities for an organization.

Securities and Exchange Commission Adopts Final Fund of Funds Rule

On October 7, 2020, the Securities and Exchange Commission (SEC) adopted Rule 12d1-4 and other amendments under the Investment Company Act of 1940, as amended, which streamline and enhance the regulatory requirements for registered investment companies and business development companies to acquire shares of other funds in excess of the limits in Section 12(d)(1) of the 1940 Act.

The Compliance Monthly: Fraud Emerges as Telemedicine Surges – Compliance Guidance for Telemedicine Providers

Telemedicine providers should examine the type of conduct DOJ has recently
focused on and adapt their compliance systems accordingly. Providers should also consider the
cybersecurity dimension of a robust compliance system and ensure that their network is
protected from malicious cyber actors.