Day: May 1, 2020

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The Affiliated Monitors Expert Podcast

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.

Categories
FCPA Compliance Report

From the Unthinkable to a Culture of Compliance- Lucas Bianchinni on Environmental Compliance in Brazil


In this special podcast series, I visit with lawyers from Azevedo Sette in Sao Paulo. The lawyers and topics include: Isabel Franco on a CarWash changed a culture, Lucas Bianchinni on environmental regulation in Brazil, Glaucia Ferreira on the Clean Companies Act, Luiz Salles on recent Brazilian corruption enforcement actions and Ingrid Santos & Guiliana Boniha on the hottest topic in Brazil: Me Too and sexual/moral harassment. In this second episode, I visit with Lucas Bianchinni about the current state of environmental regulation, enforcement and compliance in Brazil.

  1. With the country’s size and scope in mind, what is the framework for environmental regulation in Brazil, in both criminal and civil?
  2. What are best practices in complying with Brazilian environmental regulations?
  3. Why everything starts with a risk assessment?
  4. What is the risk management process for environmental compliance?
  5. What should US or other non-Brazilian companies expect in the environmental regulatory process?
  6. Many of our listeners are aware of several very high-profile environmental disasters in Brazil. What are some of the lessons from these recent Brazilian cases?

This podcast is sponsored by the law firm of Azevdo Sette. To learn more about this firm, visit its website, for resources, expert guidance and support.

Categories
Creativity and Compliance

Earnie Broughton on Elevating Ethics & Compliance Certification


Where does creativity fit into compliance? In more places than you think. Problem-solving, accountability, communication, and connection – they all take creativity. Join Tom Fox and Ronnie Feldman on Creativity and Compliance, part of the Compliance Podcast Network to explore these issues. In today’s episode we are joined by Earnie Broughton, Senior Advisor at ECI. We visit with Earnie  about ECI’s recently published new, on-demand Elevating Ethics & Compliance Certification prep course and how ECI utilized some creative approaches to ensure the course is engaging and even a little fun.
Some of the highlights include:

  • The professional journey of Earnie Broughton.
  • How Earnie has used comedic training videos successfully in a corporate compliance function.
  • What is Elevating Ethics & Compliance or E2C?
  • The process which ECI used to create E2C and Ronnie’s involvement.
  • Who are Val and Reggie and what is there role in E2C?
  • How did Ronnie help to increase the engagement of the training with elements of fun?

Resources 
Ronnie Feldman
Ronnie Feldman (LinkedIn)
Learnings & Entertainments (LinkedIn)
Ronnie Feldman (Twitter)
Learnings & Entertainments (Website)
60-Second Communication & Awareness Shorts – A variety of short, customizable, quick-hitter “commercials” including songs & jingles, video shorts, newsletter graphics & Gifs, and more. Promote integrity, compliance, the Code, the helpline and the E&C team as helpful advisors and coaches.
Workplace Tonight Show! Micro-learning – a library of 1-10-minute trainings and communications wrapped in the style of a late-night variety show, that explains corporate risk topics and why employees should care.
Custom Live & Digital Programing – We’ll develop programming that fits your culture and balances the seriousness of the subject matter with a more engaging delivery.
ECI
For more information on ECI, click here.
For more information on ECI’s new and innovative E2C Training and certification, click here.

Categories
Accountability: The Heart of Compliance

Everything is Fine, When Everything is Fine


We have been getting accountability all wrong in the compliance profession. It’s not a set of tasks – it’s a way of thinking and it has to come from the heart as well as the head. On Accountability: The Heart of Compliance Tom Fox and Sam Silverstein dig into what accountability means to the corporate compliance function and business organizations and most significantly, how to make it an integral part of your culture. In this episode Sam and I, discuss accountability during this time of the Coronavirus health crisis and economic dislocation.
Some of the highlights include:

  • Why does accountability matter even more during the time of Coronavirus?
  • Why leaders must be transparent in their communications during these times.
  • What you were doing as a leader before the crisis hit?
  • Stewardship is a key part of accountability.
  • How to be accountable during a crisis?

For more information on Sam Silverstein and his work on accountability, click here.

Categories
This Week in FCPA

Episode 203 – the Bleach and UV Light edition


As certain Americans step back from having bleach for breakfast and UV light for lunch (You don’t want dinner after those Trump-induced snacks), self-distancing Tom and Jay are back to consider some of the top compliance articles and stories which caught their collective eye this week.

  1. Five questions for a Board in the time of Coronavirus. Muel Kaptein on LinkedIn.
  2. FCPA enforcement to remain robust. Mengqi Sun reports in the WSJ Risk and Compliance Journal.
  3. Mike Ward on how tech can assist compliance during Covid-19. Dylan Tokar reports in the WSJ Risk and Compliance Journal.
  4. Is it time for a new approach to business integrity? Alison Taylor explores in the Ethical Systems blog.
  5. Will Coronavirus take down any big public companies? Francine McKenna explore in The Dig.
  6. Contact tracing for employees and its compliance issues. Lawyers from Debevoise & Plimpton in NYU’s Compliance and Enforcement Blog.
  7. Stakeholder principles during Covid-19. Members of the World Economic Forum in the Harvard Law School Forum on Corporate Governance.
  8. Using red flags to uncover fraud and corruption. Jonathan Marks on his Board & Fraud
  9. How does playing golf enhance a compliance program? Keith Hennessee on the FCPA Blog.
  10. Elon Musk indemnifies Tesla Board. Can you spell COI? Kevin LaCroix in the D&O Diary.
  11. AMI webinar on Crisis and Compliance in the Federal Marketplace. May 5 at noon EST. Registration and information here.
  12. On Compliance and Coronavirus this week: Jeffrey Hayzlett on five key actions to take during Coronavirus; Mari Ryan on employee wellness; Brenda Ferraro on JumpStarting your 3rd party risk management program during Covid-19.
  13. In a special series with the Brazilian law firm of Azevedo Sette, we explore the current compliance scene in Brazil. Part 1-Isabel Franco on how CarWash changed a culture; Part 2-Luis Salles on investigations and anti-trust compliance; Part 3-Glaucia Ferreira on due diligence and background investigations; Part 4-Ingrid Santos and Guiliana Bohia on #MeToo in Brazil; Part 5-Lucas Bianchinni on environmental compliance in Brazil.
  14. On the Compliance Podcast Network, Tom concludes his month of exploring continuous improvement and introduces May’s topic: written standards; all on 31 Days to a More Effective Compliance Program. This week’s offerings: Monday-tech upgrades fostering continuous improvement; Tuesday-using email sweeps for continuous improvement; Wednesday-using social media for continuous improvement; Thursday-conclusion to continuous improvement to a compliance program;  Friday-Introduction to written standards. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc.

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.