Categories
Compliance Kitchen

BlockFi Settlement


BlockFi to Pay $100M and pursue registration of its crypto lending product.

Categories
Creativity and Compliance

Easier To Be Brave When You Aren’t Alone


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. In this episode, Tom and Ronnie begin a short series on provocative statements on compliance training and communications, followed by discussion. In this episode, why it is easier to be brave when you are not alone and Ronnie channels his inner Amy Poehler.
Resources:
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.
Tales from the Hotline – check out some samples.

Categories
STAKE: The Leadership Podcast

Do Company Values Really Matter Anymore


A lot of businesses have their organization’s core values posted up somewhere on a wall in the building, in a corner of their website, and even on employee’s desks! And some organizations have worked hard to get their employees to memorize the core values and be able to tell someone those values at the drop of a hat. My question is, is that approach to company values doing any good for the business?
In today’s episode, I’m talking with Gabe Krajicek, CEO of Kasasa. I’ve experienced first-hand how company values can be useless, and as a previous customer of Kasasa, I’ve seen how values can directly impact customer interactions and the company’s bottom line. Hear exactly how Gabe and his team have worked to build an incredible culture at Kasasa and how you can do the same thing in your organization, too!
———-
If you’re looking for tangible action steps and refreshing insights to help ignite the power of your own leadership journey, sign up for my weekly leadership blog HERE.
If your business would benefit from higher-performing leaders, check out more information about the comprehensive leadership development training I do HERE.
If you want to reach out to me directly, email alyson@vanhooser.com.
If you enjoyed this episode, will you please subscribe and leave a review? Your reviews help this show get discovered by more incredible leaders just like you. I’m obsessed with helping leaders ignite their performance results and I’d love to have you help me make an impact! Thank you so much!
P.S. Share and tag me on social — @AlysonVanHooser — and I’ll share your comments and big takeaways on my feed!

Categories
Career Can D0

Transforming Change Into Experiences with Breeda Miller


 
In this episode of Career Can Do, Mary Ann Faremouth chats with Breeda Miller. Breeda is an author, trainer and playwright, and CEO of Breeda Miller Speaking, where she uses the power of story to reach, teach, and provide a memorable framework for lasting change. She has used her professional experience serving clients in many industries, including healthcare, academic institutions, and nonprofit communities. She shares how we can take life’s numerous changes and transform them into meaningful experiences that help others.
 

 
Breeda came to understand the value of self-care when she cared for her mother for nearly six years. Through that experience, she learned profound life lessons that she was able to translate into impactful and humorous stories. She dedicated herself to becoming a professional storyteller, but just when she was in the thick of it, the pandemic hit. Despite the setback of no speaking events and things not being quite the same in Zoom, Breeda rose to the challenge and wrote a one-woman show under the advice of a storytelling coach.
 
“We can find ways to connect our humanity; to share these experiences and then turn them into really powerful opportunities,” Breeda remarks. “We’ve felt so isolated for so long and [Mrs. Kelly’s Journey Home] is a way to feel connection.” She talks about her method for maintaining focus. “I thought to myself: if I knew I couldn’t fail, what would I do?”
 
Resources
Breeda Miller | Facebook | YouTube | LinkedIn 
Breeda Miller Speaking
 
Faremouth.com
 

Categories
This Week in FCPA

Episode 296 – the Slap Seen ‘Round the World edition


On this April Fool’s Day for 2022, Tom and Jay are back to look at some of the week’s top compliance and ethics stories in the Slap Seen ‘Round the World edition.
 Stories

  1. The Slap Seen ‘Round the World and Compliance. Tom in FCPA Compliance and Ethics Blog.
  2. Will CCOs have to certify compliance? Text of Kenneth Polite speech. Tom and Matt in Compliance into the Weeds. Matt in Radical Compliance.
  3. Coal exec indicted under the FCPA. Harry Cassin in the FCPA Blog.
  4. Good bribes. Dick Cassin in the FCPA Blog.
  5. Why controls are key to compliance. Chris Audet in CCI.
  6. MarshMac UK sub garners Declination with Disgorgement. Dylan Tokar in WSJ Risk & Compliance Journal.
  7. ZTE whistleblower feared for his life. Ashley Yablon in CCI.
  8. Whistleblowing keys. Jan Stampers In Risk and Compliance Matters.
  9. Fine line between compliance and evasion of OFAC sanctions. Mike Volkov in Corruption Crime and Compliance.
  10. ISSB delivers sustainability guidelines. IFRS Press Release.

Podcasts and More

  1. What is the intersection of Sports and Ethics? Each year, Jason Meyer holds Ethics Madness, a discussion of this intersection done during March Madness. This year, Jason engaged Tom for Ethics Madness in the podcast format. It was cross-posted on Jason’s site Eight Mindsets, which he co-hosts with Nicole Rose and on Tom’s site, Greetings and Felicitations.
  2. Tom has a two part series with Aly McDevitt on her recent Ransomware case study, on Greetings and Felicitations, Part 1 and Part 2.
  3. Why should you attend Compliance Week 2022? Find out on this episode of From the Editor’s Desk. Listeners get a $200 discount to CW 2022 with the code Fox200. More here.
  4. Tom visits with longtime MS 150 rider Alan Peterson on The Hill Country Podcast. Donate to the fight against MS here.
  5. Why should compliance lead corporate ESG? Kristy Grant-Hart explains on the ESG Compliance Podcast.
Categories
Daily Compliance News

April 1, 2022 the April Fool’s Edition


In today’s edition of Daily Compliance News:

  • MarshMac UK sub garners Declination with Disgorgement. (WSJ)
  • Corruption a worldwide crisis. (Aeon)
  • SEC threatens to delist Chinese company over audit failings. (Insider)
  • ZTE whistleblower pens book on experience. (CCI)
Categories
Blog

The Slap Seen ‘Round the World and Compliance

It was the slap seen ‘round the world. It happened last Sunday night on the televised presentation of the 94thannual Oscars award ceremonies when Will Smith stormed to the stage after comedian Chris Rock made a joke about Smith’s wife’s lack of a full head of hair and, in front of audiences worldwide, delivered a slap to the face of Rock. Smith was incensed that, according to Emily Stedman, the  comedian’s remark that his wife’s shaved haircut was reminiscent of famous film character G.I. Jane. Smith’s wife, Jada Pinkett Smith, has been openly suffering with the hair loss condition Alopecia since 2018.
Smith later won the Best Actor Oscar for his portrayal of Venus and Serena Williams’ father Richard Smith in the movie King Richard. Smith did not apologize for his actions during his acceptance speech and did not do so until “one day on from the altercation. I would like to publicly apologize to you, Chris,” he wrote. “I was out of line and I was wrong. I’m embarrassed and my actions were not indicative of the man I want to be. There is no place for violence in a world of love and kindness.”” Rock’s only statement on the affair to date, according to Nicole Sperling and Julia Jacobs, writing in the New York Times (NYT), has been “I’m still kind of processing what happened,” Mr. Rock said, briefly addressing the topic everyone was talking about. He promised to discuss it in greater depth later. “It’ll be serious, it’ll be funny, but I’d love to — I’m going to tell some jokes.””
Apparently after the incident, the Academy of Motion Picture Arts and Sciences said, “that the actor Will Smith was asked to leave the Oscars ceremony after he slapped Chris Rock onstage Sunday night, but that the actor refused to go.” The Academy did not take any steps to physically remove Smith from the event. What lessons should every Chief Compliance Officer (CCO) and compliance professional draw from this matter?
Workplace Violence
First and foremost, violence at the workplace is never justified. What if this had happened at your office? What would you do? Would you allow the perpetrator of the violence to remain as your employee? I should certainly hope not. What if you are in a state which allows guns to be carried. Do you risk the perpetrator walking up and shooting a co-worker over a joke, in poor taste or otherwise? Unfortunately, workplace violence happens all too often.
What if the person attacked (Rock) did anything to defend themselves? In watching the clip of the slap, you will see Rock kept his hands behind him. What if he had raised his hands to defend himself and then the perpetrator shot him. In the state of Texas and Florida that would probably bring the ‘Stand Your Ground’ defense into play if the perpetrator said he thought the person he was about to attack was going to hit the perpetrator and the perpetrator actually acted to defend himself. You can see how quickly all this can spiral out of control.
Not only should you make clear that violence will never be tolerated at work, but you should use this opportunity to train about underlying causes and red flags of workplace violence. There is clearly history between Smith and Rock, the slap seen ‘round the world did not come out of nowhere. Metal health at the workplace can be as important as physical health. Every CCO should use this opportunity to reassess your company’s overall programs in these areas.
Institutional Justice
What about the Academy of Motion Picture Arts and Sciences decision not to remove Smith from the theater? The Academy was on actual notice that violence had been perpetrated but (apparently) took no action. Another comedian, Wanda Sykes, one of the hosts of Sunday’s telecast, said in an interview with Ellen DeGeneres “that the moment was “sickening” to her and that she thought Mr. Smith should have been escorted from the building instead of being allowed to stay and accept his Oscar.” She went on to add, “For them to let him stay in that room and enjoy the rest of the show and accept his award — I was like, how gross is this? This is just the wrong message.”
The Department of Justice (DOJ) made clear in the 2020 Update to the Evaluation of Corporate Compliance Programs that it expects a CCO and corporate compliance function to be the keepers of Institutional Justice in an organization. One of the tenets of this concept is that all employees must be treated fairly and equally, literally from the Board room to the shop floor. You can bet your bottom dollar that if an employee at the Dolby Theater in Los Angeles where the event was held had slapped an actor (or even a comedian) that employee would be escorted off the premises forthwith. The Academy certainly had the right and power to escort Smith off but failed to do so. Did their actions put Rock at additional risk? Possibly. What about the other attendees? I will leave that to your imagination.
What about actions by the Academy now to sanction Smith for his conduct? According to the NYT article, “The academy said that it had initiated disciplinary proceedings against Mr. Smith “for violations of the academy’s standards of conduct, including inappropriate physical contact, abusive or threatening behavior, and compromising the integrity of the academy.” It said that Mr. Smith would be given a chance to respond and that at its next board meeting, on April 18, it “may take any disciplinary action, which may include suspension, expulsion, or other sanctions.”” Stern stuff, or perhaps not, particularly if the Academy issues a stern statement to Smith “not to do it again.”