Day: August 5, 2019

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Trekking Through Compliance

Trekking Through Compliance-Episode 66 – Wink of an Eye

In this episode of Trekking Through Compliance, we consider the episode Wink of an Eye which aired on November 29, 1968, Star Date 5710.5.
Compliance Takeaways:

  1. What questions should your Board be asking?
  2. As CCO, who do you report to?
  3. How tone at the top impacts your entire organization.
Categories
Adventures in Compliance

The Illustrious Client and the Reference Check

We are back with fan favorite Sherlock Holmes week. In this week’s podcasts on Adventures in Compliance, I will focus on the first five stories from The Casebook of Sherlock Holmes, mining each story for themes and lessons related to the compliance professional, leadership and business ethics. In today’s offering, I consider The Adventure of the Illustrious Client and its relationship to the humble reference check. Join us tomorrow as we continue our week of stories from The Casebook of Sherlock Holmes by looking at the The Adventure of the Blanched Soldier and learning to ask for help.

Categories
Excellence in Training

Working with Training Vendors

In this episode of Excellence in Training, Shawn Rogers provides some of this thoughts on working with training vendors. Shawn adds this disclaimer-As a company, GM uses many training vendors. Our compliance function primarily uses two vendors. He has worked with other good vendors that currently do not work with GM. He is not promoting any specific vendors, nor is he disparaging any specific vendors in this podcast. And, of course, these opinions are Shawn’s alone and opinions that  developed over almost 15 years. He is not speaking on behalf of GM in any way.
Categories
Daily Compliance News

Daily Compliance News: August 5, 2019, the Wells Fargo sick of being taken advantage of edition

In today’s edition of Daily Compliance News:

  • Wells Fargo sick of being taken advantage of by vendors. (Dealbreaker)
  • What is a conflict of interest? When a charity directs its members to a top donor. (NYT)
  • US Soccer continues to discriminate against Women’s soccer. (WSJ)
  • Bubble wrap maker and its auditor under federal investigation. (WSJ)
Categories
FCPA Compliance Report

Episode 440, Jesse Caplan on the DOJ Evaluation of Corporate Compliance Programs for Antitrust

In this episode I visit with Affiliated Monitor’s Managing Director Jesse Caplan on the recently released DOJ Evaluation of Corporate Compliance Programs in Criminal Antitrust Investigations.  Highlights from the podcast include:

  1. How does this change the Antitrust Division Leniency Program?
  2. Does your compliance program have an antitrust focus?
  3. How should compliance professionals consider using this Evaluation?
  4. How does this Evaluation fit in with Evaluation of FCPA Compliance Programs?

For a copy of the DOJ Evaluation of Corporate Compliance Programs in Criminal Antitrust Investigations, click here.