CONVERGE19 is in its 4th year of bringing together the world’s leading companies for 2 days of dynamic speakers, thought-provoking breakout sessions, and opportunities to connect with like-minded professionals. You will leave the conference with new resources and best practices allowing you to continue the hard work of driving ethics to the center of your business. In today’s episode I visit Stephen Martin, Partner, StoneTurnabout his presentation, The Board’s Perspective – What Can’t be Measured, Can’t be Managed .
Good questions from the board, whose involvement is critical to compliance success, can indicate that the board is committed and engaged with ethics. In this presentation, Martin will share his perspective as a board member to discuss:
– Techniques to help facilitate an effective and open dialogue between you and the board
– Common questions that board members will ask about your program
– How to compile critical compliance program data to accurately benchmark
For more information on Converge19, click here.
Day: September 25, 2019
We recorded a special episode of Great Women in Compliance this week. A roundtable session was held at the Gaylord Resort and Convention Center at National Harbor – right from the SCCE CEI. This year’s conference attracted nearly 1900 attendees and was packed full of interesting sessions from substantive topics to soft skills to motivational and inspirational, which we hope our session “Starting the Great Women in Compliance Podcast. How an Idea from the SCCE 2018 CEI Evolved into a Podcast and What We Learned” was for some of the attendees.
Podcast hosts Lisa Fine and Mary Shirley were joined for this episode by two popular and prominent Great Women in Compliance, Amii Barnard-Bahn and Ellen Hunt to share insights, observations and learnings from this year’s conference. We talked about a few of the sessions of the conference and the key takeaways from each, top tips for networking specifically at conferences to make the most of the in person experience, developments in relation to women on boards and overall highlights from attending the conference.
Lisa and Mary would like to extend sincere gratitude to the folks that introduced themselves at the conference, supported our session, podcast and supplied us with feedback. It was a wonderful experience meeting so many of our LinkedIn connections including several Great Women in Compliance in person and we very much look forward to seeing you all again next year.
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PwC Spanked Edition
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 episode, Matt Kelly and I go into the weeds to explore the recent SEC enforcement action against PwC and its partner Brandon Sprankle for violating audit firm independence rules, including PwC implementing a GRC software system for one of its audit clients.
Some of the highlights include:
- What was the conduct which led to the $8.9MM fine against PwC?
- Why do audit firm independence rules exist?
- Why ethical norms did PwC partner Brandon Sprankle violate?
- Should an audit partner who engages in material misrepresentations be trusted to perform an audit?
- What internal controls at PwC were violated by Sprankle’s actions?
- What does a CCO need to pay attention to audit firm independence rules?
For additional reading see the following:
Matt’s blog post, SEC Dings PwC on GRC Deal, on Radical Compliance.
For more information on Converge19, click here.
