• Innovation in Compliance with Tom Fox

  • 著者： Thomas Fox
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Innovation in Compliance with Tom Fox

著者： Thomas Fox
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  • Innovation in compliance brings you interviews with industry leading experts who are changing the way practitioners approach compliance. Host Tom Fox, the Compliance Evangelist and Voice of Compliance is driving the conversation about compliance into the 2020s and beyond with his focus on innovations for the compliance practitioner and the compliance profession. If you want to learn how to bring business solutions to compliance problems to more fully operationalize compliance, this is the podcast for you.
    Thomas Fox
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あらすじ・解説

Innovation in compliance brings you interviews with industry leading experts who are changing the way practitioners approach compliance. Host Tom Fox, the Compliance Evangelist and Voice of Compliance is driving the conversation about compliance into the 2020s and beyond with his focus on innovations for the compliance practitioner and the compliance profession. If you want to learn how to bring business solutions to compliance problems to more fully operationalize compliance, this is the podcast for you.
Thomas Fox
政治・政府 マネジメント 経済学
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エピソード
  • Anik Singal on His Journey from Digital Marketer to Compliance Advocate

    Anik Singal on His Journey from Digital Marketer to Compliance Advocate
    2024/11/05
    Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance as he visits with top innovative minds, thinkers and creators in the award-winning Innovation in Compliance podcast. In this episode, Tom Fox sits down with Anik Singal, an expert in digital marketing and compliance. We discuss the often-overlooked aspects of compliance in direct marketing business. Singal shares his remarkable journey from being an online marketer for over two decades, to facing a civil investigative demand from the FTC just as he was about to sell his company. This life-altering experience led him to focus on marketing compliance, resulting in the creation of an AI-powered software, a podcast, a book, and an academy aimed at helping businesses market compliantly while still achieving high conversion rates. The episode delves into the complexities of FTC, SEC, and FINRA regulations, and provides actionable insights into maintaining compliance to avoid legal pitfalls. Key Highlights · The Turning Point: FTC Investigation · Lessons Learned and New Mission · Understanding FTC Marketing Compliance · The Pentagon of Compliance · The Importance of Substantiation in Marketing · The 'Don't Say That' Podcast Resources Anik Singal on LinkedIn Complily Don’t Say That podcast Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    35 分
  • Revolutionizing Compliance: AI’s Role in Shaping The Future of Compliance Financial Institutions

    Revolutionizing Compliance: AI’s Role in Shaping The Future of Compliance Financial Institutions
    2024/10/29
    Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. In this episode, Tom Fox has an enlightening discussion with John Sun, CEO of Spring Labs, sponsor of this podcast, as they delve into the transformative impact of AI on compliance in the financial sector. John shares his journey from a Chief Risk Officer at Avant to leading Spring Labs, an AI company focused on creating innovative compliance tools for financial institutions. The episode explores the significant gap in existing compliance tools and the company’s contributions to making compliance processes more efficient and adoptable. They cover the challenges faced by compliance professionals in communicating the value of these tools to quantitative-oriented stakeholders and highlight how AI-powered solutions like Zanko ComplianceAssist, Agent Assist, and Customer Assist are enhancing efficiency and accuracy. Additionally, the conversation touches on how AI is being used to convert unstructured conversational data into actionable insights, leading to better business decisions and process improvements. This episode offers valuable insights for financial institutions aiming to use customer feedback as a strategic resource and emphasizes the growing importance of AI in compliance and data management. Key Highlights: The Genesis of Spring Labs Strategic Value of Compliance Management Leveraging AI in Compliance Streamlining Customer Service with AI Leveraging Data for Business Efficiency AI’s Role in Structuring Data Future of AI in Compliance Resources: John Sun on LinkedIn Spring Labs Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    28 分
  • Monica Goyal on Tech-Driven Solutions for Law Firms

    Monica Goyal on Tech-Driven Solutions for Law Firms
    2024/10/22
    Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. This month’s sponsor of Innovation in Compliance is Athennian. In this episode, Tom welcomes Monica Goyal, the Vice President for Legal Innovation and Lawyer at Caravel LLC and Briefly LLC, to explore the transformative potential of technology in the legal industry. Monica has a non-traditional journey to the legal profession, beginning with her educational background in electrical engineering and firsthand experience in Silicon Valley. From this perspective and after law school and work in the legal field, she observed multiple process inefficiencies. She discusses how advanced technologies like generative AI and data analytics can address these inefficiencies, improving corporate governance, contract management, and the overall delivery of legal services. Monica highlights the importance of legal innovation officers in law firms and the role of Caravel Law’s unique model in providing backend support to legal professionals, allowing them to escape administrative tasks and focus on core legal work. She also touches on the innovative concept of fractional in-house counsel, which serves businesses needing more support than external counsel without the full expense of a general counsel. Listeners will gain insights into the growing necessity for legal tech skills and the benefits of tools such as Athennian for document automation. Monica underscores the value of emerging technologies and encourages further exploration of resources like Caravel and Briefly for legal professionals. Key Highlights: Monica Goyal’s Unique Journey into Law Innovations in Corporate Legal Departments Communicating Tech Solutions to Legal Professionals Caravel’s Unique Business Model Management with Athennian Future of Legal Tech and Data Analytics Resources: Monica Goyal on LinkedIn Caravel LLC Athennian Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    24 分

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