Day: March 1, 2019

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This Week in FCPA

This Week in FCPA-Episode 144 – Farewell to Sam edition

Tom returns from London to find Sam Rubenfeld announcing his departure from the WSJ Risk and Compliance Journal via Twitter. Tom and Jay are back together to take a look at some of this week’s top compliance and ethics stories which caught their collective eyes this week.

  1. Ethisphere’s 2019 World’s Most Ethical companies’ awards is announced. Matt Kelly in Radical Compliance. For the full list see Ethisphere’s announcement.
  2. Fresenius announces a pending FCPA resolution. Sam Rubenfeld reports in the WSJ Risk and Compliance Journal Sam announces his departure from the Risk and Compliance Journal via Twitter.
  3. The UK Serious Fraud Office closes its investigation into GSK and Rolls Royce with no individuals prosecuted. How could this happen? Tabby Kinder reports on the reaction in the UK in the London Time Harry Cassin reports in the FCPA Blog.
  4. What new industries are under FCPA scrutiny? David Chaikin and Kurt Wolfe report in Law360. (sub req’d)
  5. Bio-Rad GC retains most of his whistleblower award. Jason Zuckerman on the legal angle in the National Law Review. (sub req’d) Bob Egelko gives the Bay Area perspective in the San Francisco Chronicle.
  6. What is the intersection of Supply Chain and security? Michael Mason, Robert Taylor, Stacy Hadeka and William Kirkwood report in Law360. (sub req’d)
  7. What are the dangers of a GC shirking their FCPA duties? Michele Gorman investigates in Law360. (sub req’d)
  8. What is the intersection of sports and compliance? Tom explores in two blog posts this week, Zion and Nike and Kraft and compliance. Tom and Matt Kelly take a deep dive into the Kraft imbroglio on Compliance into the Weeds.
  9. Proviti’s Jim DeLoach named recipient of the 2019 Bette Steed Leadership Award by the Greater Houston Business and Ethics Roundtable. Tom reports in the FCPA Compliance and Ethics Blog.
  10. Tom has a special 4-part podcast series this week, Live from London where he was interviewed Jonathan Armstrong. Check out the following: Part 1-customers emerging as corruption risks, Part 2-state of compliance in 2019; Part 3– the Cognizant Technology FCPA declination; and Part 4-regime change and compliance. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Panoply and YouTube. The Compliance Podcast Network is now also on Spotify. It is soon to be on Corporate Compliance Insights.
  11. Navex Global is putting on a virtual master class– Ethics Beyond Compliance: Retaliation, Thursday, March 14, 2019 at 8:30 AM Pacific | 10:30 AM Central | 11:30 AM Eastern | 3:30 PM GMT. Registration and agenda are available 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.
For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.

Categories
Great Women in Compliance

Great Women in Compliance-Springboarding Your Success with a Book with Deena King

Have you ever thought of publishing a book on compliance? Deena King is the author of Compliance in One Page and is currently the Director of Compliance at Texas Woman’s University. Today on the show, she’s discussing her book publishing process and what it’s like working at higher education, as well as sharing her best advice for writing a book and springboarding your success.
On writing about compliance
Deena was part of the team that designed the initial Brigham Young University compliance program. When she transferred to NV Energy in Las Vegas, she noticed that doing compliance at a university was similar to doing compliance at a utility and decided to document this pattern. This eventually became her book which she finished in 2015.
Challenges in publishing
No one really tells you how to write a book — so that was a challenge in itself — and because she was new to the compliance profession, Deena decided to self-publish. She learned tons about the many moving piece publishers take care of, from design to editing and beyond.
Her next challenge is self-publishing the second edition of her book, which she hopes will be out early in 2020.
Advice for aspiring compliance authors
If you see something no one is talking about and you feel you can add to the conversation, write about it. Start with articles in magazines to help you get your thoughts together and give you some direction. Then write an outline for your book and go for it!
Working at Texas Woman’s University (TWU)
Being an educated woman is a big, important value for her. So while TWU in itself is a great university (and the reason she decided to take the job), the cherry on top was that she was going to be working for a university whose primary goal is to educate women.
Soft Skills vs Knowledge
Knowing how to work with people is an absolute must in compliance, as you will be working with all kinds of people in many different areas. You can’t live without soft skills. But the legal and regulatory foundations are important too, because content matters.
Advice for springboarding yourself to success
When Brigham Young University was going to start their first compliance program, Deena knocked on her director’s office door, sat down, and said: “I think I’m really going to like this compliance thing. Can I be on this team? Can I help?”
If you’re willing to help people build something, somebody is bound to say, yes.  Just step forward and be proactive.
Learnings from the CIA
Deena used to work at the CIA  in a former life. The CIA would always use three — and oftentimes more — lines of defense when it comes to protecting data, and this is something she carries with her until today. She makes sure that when she’s protecting information, there are always multiple layers of defense.
Resources
Deena King| Compliance in One Page| The Ethics of Higher Education
Categories
Daily Compliance News

Daily Compliance News: March 1, 2019-Lion or Lamb? edition

MARCH 1, 2019 BY TOM FOX

In today’s edition of Daily Compliance News: