Day: August 7, 2019

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Trekking Through Compliance

Trekking Through Compliance-Episode 68 – Elan of Troyius

In this episode of Trekking Through Compliance, we consider the episode Elan of Troyius which aired on December 20, 1968, Star Date 4372.5.

Compliance Takeaways:
  1. Do you perform continuous monitoring of your 3rd parties?
  2. How deep does your 3rd party investigation go?
  3. How culturally astute is your compliance regime?
Categories
Adventures in Compliance

The Marazin Stone and Storytelling in Compliance

We are back with fan favorite Sherlock Holmes week. In this week’s blog posts, 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 Marazin Stone and how it informs storytelling in compliance. Join us tomorrow as we continue our week of stories from The Casebook of Sherlock Holmes by looking at the The Adventure of the Three Gables and institutional justice.

Categories
Daily Compliance News

Daily Compliance News: August 7, 2019, the travel warnings edition

In today’s edition of Daily Compliance News:
  • How bad is gun violence by white supremacist in America? Venezuela and Mexico issue travel warnings for coming to US. (MarketWatch)
  • Why do you need employee due diligence? (WSJ)
  • Is it really any wonder? Novartis accused of hiding negative data during trials. (NYT)
  • Can Equifax ever be trusted again? (Washington Post)
Categories
Great Women in Compliance

Cultivating the Next Generation of Compliance Officers-Barbara Boehler

The Great Women in Compliance Podcast is hosted by Lisa Fine and Mary Shirley who believe that when women support other women, collectively everyone’s boat rises.  With this in mind, the #GWIC podcast puts the spotlight on women who have trailblazed in Compliance, hold remarkable achievements and have actionable advice to help advance other women in the industry. In this week’s episode feature, Mary speaks with Barbara Boehler, who is currently Director of Programming at Compliance Week, a magazine and events company in the Compliance space.  Barbara is also an adjunct professor at Boston University and the Suffolk Law School in Boston.
Some of the highlights include:
  • The life cycle from lawyer to Compliance Officer to directing events and sprinkling in lecturing
  • The differences between financial services compliance vs corporate compliance
  • Barbara’s number one tip for success in financial services compliance
  • What it’s like teaching the next generation of Compliance Officers about Compliance
  • What goes into the curriculum for Compliance lectures
  • Suggestions for getting into an Adjunct Professor role
  • How lecturing can improve your skills as a Compliance professional
  • Chief Compliance Officer hot topics
  • What makes a popular speaker at Compliance conferences and tips for angling speaking proposals to get selected.
Categories
Compliance Into the Weeds

Compliance into the Weeds: Episode 134-Compliance Responses to El Paso and Dayton

Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this most somber episode, Matt Kelly  and I go into the weeds to explore what are some of the compliance responses to the twin tragedies of El Paso and Dayton.
Some of the highlights include:
Ø How the lack of safety at the workplace impacts employee trust.
Ø How should a company police hate and racist speech by employees online?
Ø What is your company policy around firearms at the workplace? What if your state allows it?
Ø What actions should Walmart take for the safety of its employees and customers?
Ø What red flags on employee hate speech are actionable?
Ø What employee hate speech puts a company on actual knowledge of an impending or even possible attack?
Ø What is a company’s liability in such a situation?