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2 Gurus Talk Compliance

2 Gurus Talk Compliance: Episode 34 – The Whistleblower Edition

What happens when two top compliance commentators get together? They talk compliance, of course. Join Tom Fox and Kristy Grant-Hart in 2 Gurus Talk Compliance as they discuss the latest compliance issues in this week’s episode!

In this episode, Kristy and Tom delve into an array of timely topics. They discuss how and why HR is now seen as the ‘Department of Misery.

The duo takes a deep dive into the new DOJ Whistleblower Incentive Program. They also discuss the huge Meta settlement with the state of Texas, SFO prosecutions and corporate felony convictions. Of course, Florida man makes an appearance with another great tale. Tune in for a comprehensive mix of compliance nuts-and-bolts insights and current events.

Stories Include:

  • For Big Companies, Felony Convictions Are a Mere Footnote (WSJ)
  • HR: the Department of Misery?  (NYT)
  • Can a corporate vote overturn a court decision? (FT)
  • Income inequality and corruption. (The Economic Times)
  •  The DOJ announces a whistleblower incentive program. (WSJ)
  • Glencore trader criminally charged by SFO for bribery. (FT)
  • OFAC Releases Guidance on Extended Statute of Limitations & Forthcoming Recordkeeping Changes (Volkov) – VolkovLaw
  • Meta agrees to $1.4 billion settlement in Texas biometric data lawsuit over Facebook images (CNBC)
  • Will AI kill meaningless jobs? (NYT)
  • ‘Before He Cheats:’ Florida woman accused of keying ‘CHEATER’ on man’s car (Click Orlando)

 Resources:

Kristy Grant-Hart on LinkedIn

Spark Consulting

Prove Your Worth

Tom

Instagram

Facebook

YouTube

Twitter

LinkedIn

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Compliance Tip of the Day

Compliance Tip of the Day: Employee Trust

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements.

Whether you’re a seasoned compliance professional or just starting your journey, our aim is to provide you with bite-sized, actionable tips to help you stay on top of your compliance game.

Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law.

Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

In this episode, we consider how you can work to regain employee trust in the era of remote work and RTO.

For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

To check out The Compliance Handbook, 5th edition, click here.

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Creativity and Compliance

Creativity and Compliance: Pattern Disruption in Compliance Training

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 award-winning Compliance Podcast Network.

Ronnie’s company, Learnings and Entertainment, utilizes the entertainment devices that people use to consume information in their everyday, non-work lives, and apply it to important topics around compliance and ethics. It is not only about being funny. It is about changing the tone of your compliance communications and messaging to make your compliance program, policies and resources more accessible.

In this episode of Creativity and Compliance, hosts Tom Fox and Ronnie Feldman discuss the concept of pattern disruption in compliance.

Tom and Ronnie explore how pattern disruption can grab attention, break typical habits, and engage employees in compliance training and communication. They emphasize the importance of consistency of messaging but variety in delivery mechanisms to keep employees engaged. They provide examples of pattern disruption techniques, such as changing the name of the compliance department, using fun questions at the beginning of training, and incorporating creative devices like songs, jingles, and fake commercials. The episode concludes with the importance of standing out and making an emotional connection to enhance engagement and recall.

Key Highlights:

  • Pattern disruption grabs attention and breaks typical habits
  • Variety in delivery mechanisms is necessary to keep employees engaged
  • Examples of Pattern Disruption Techniques
  • Standing Out and Making an Emotional Connection

 Resources:

Ronnie

Tom

Instagram

Facebook

YouTube

Twitter

LinkedIn

For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

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Principled Podcast

Principled Podcast: S11E10 | Unlocking the Secrets to Empowering Leaders to Champion Ethics and Compliance in Organizations

In this episode of the Principled Podcast, join Amy Hanan, LRN’s Chief Marketing Office, and Lance King, Head of Group Compliance at Virgin Media O2, as they examine how organizations can empower leaders to champion ethics and compliance, discussing what it takes to build high performing compliance teams, manage regulatory risks, and how to develop effective relationships from shop floor to the C-Suite.

Guest: Lance King

Episode Cover - Lance King - Season 11 Episode 10

Lance King is the Head of Compliance at Virgin Media O2, bringing over 25 years of leadership experience in financial services. His career has spanned P&L responsibilities in frontline retail banking and media store teams, culminating in his current position where he leads the compliance function for one of the largest media companies in the UK. Lance is an inspirational leader known for delivering transformational change and excels in developing innovative regulatory solutions, forging effective relationships, and leading diverse teams to support company strategy and executive leadership obligations.

Host: Amy Hanan

Principled Podcast - Season 11 Episode 8 - - Amy Hanan

Amy Hanan is the chief marketing officer at LRN. Amy, a B2B digital marketing leader, has a nearly 20-year track record in product, brand, lifecycle, and demand-generation marketing and corporate communications for media, professional services, and technology companies. One of her central areas of expertise is executing tech-enabled marketing initiatives for growth. Before joining LRN, Amy was the chief digital officer at Baretz+Brunelle, a marketing and communications agency serving the legal and financial services industries. Her previous experience includes Reorg Research, ALM Media, and The Associated Press. She holds a Bachelor of Arts degree from Northern Arizona University.

Connect with the Compliance Podcast Network at:

LinkedIn: https://www.linkedin.com/company/compliance-podcast-network/
Facebook: https://www.facebook.com/compliancepodcastnetwork/
YouTube: https://www.youtube.com/@CompliancePodcastNetwork
Twitter: https://twitter.com/tfoxlaw
Instagram: https://www.instagram.com/voiceofcompliance/
Website: https://compliancepodcastnetwork.net/

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Daily Compliance News

Daily Compliance News: August 9, 2024 – The Stepping into a Crisis UK Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee and listen to the Daily Compliance News. All from the Compliance Podcast Network.

Each day, we consider four stories from the business world: compliance, ethics, risk management, leadership, or general interest for the compliance professional.

In today’s edition of Daily Compliance News:

  • A new Boeing CEO is stepping into a crisis.  (WSJ)
  • Microsoft says Delta is responsible for cancellations. (NYT)
  • Google and Meta had a secret deal to target teens. (FT)
  • South Africa wants off the FATF grey list. (Bloomberg)

For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

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Trekking Through Compliance

Trekking Through Compliance – Episode 68 – Lessons in Dealing with Complexity from Elaan of Troyius

In this episode of Trekking Through Compliance, we consider the episode Elaan of Troyius, which aired on December 20, 1968, and occurred on Star Date 4373.5

Kirk and crew are playing taxi to Elaan from Elas and an ambassador from Troyius. (She is one of the greatest spoiled brat characters in all of TOS.) Their mission: get everyone safely from point A to point B. Sounds easy, right? Now add Elaan’s near-barbarism, a bit of sabotage, and a hostile Klingon ship. Can Kirk civilize Elaan, evade the Klingons, and keep the Enterprise from blowing up?

Commentary

The storyline involves Captain Kirk navigating political and personal challenges on a mission to prevent war through a politically motivated marriage. Key compliance lessons include managing complex political dynamics, overcoming personal biases, adapting to unexpected challenges, maintaining professionalism, and fostering cross-cultural understanding. The episode underscores the importance of ethical integrity and strategic navigation in compliance contexts.

Key Highlights

  • Story Synopsis
  • Fun Facts and Analysis
  • Lessons in Compliance Complexity

Resources

Excruciatingly Detailed Plot Summary by Eric W. Weisstein

MissionLogPodcast.com

Memory Alpha

 

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Daily Compliance News

Daily Compliance News: August 8, 2024 – The Whistleblowing in The UK Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee and listen to the Daily Compliance News. All from the Compliance Podcast Network.

Each day, we consider four stories from the business world: compliance, ethics, risk management, leadership, or general interest for the compliance professional.

In today’s edition of Daily Compliance News:

  • The UK takes whistleblowers seriously. (FT)
  • Afghanistan cricketer are banned for corruption. (ESPN)
  • Trouble for Boeing in outer space. (NYT)
  • Chaos on the Boeing assembly line. (WaPo)

For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

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FCPA Survival Guide

FCPA Survival Guide – Step 10 – Lesson on Speak Up Culture, Triage, and Internal Investigations

How can you survive an FCPA enforcement action? In this special podcast series, Tom Fox and Nick Gallo lay out the Top 10 things you can do to reduce your overall fine and penalty, perhaps down to a full declination. All of the actions you can take come from recent DOJ prosecutions under the FCPA and speeches from DOJ representatives. This podcast, sponsored by Ethico, is the companion series to the book The FCPA Survival Guide: Surviving and Thriving a Foreign Corrupt Practices Act Enforcement Action. Today, we discuss lesson number 10, your investigation process.

Tom and Nick discuss the importance of establishing a culture where employees feel empowered to speak up, the process of triaging and conducting internal investigations, and the significance of these practices in modern compliance programs. They reflect on the shift in workforce mentality towards valuing integrity and the practical implications for ethics and compliance teams in today’s knowledge economy. They emphasize the necessity of effective internal reporting mechanisms and middle management’s strategic role in capturing risk intelligence. The conversation explores the challenges and opportunities in optimizing compliance processes to mitigate risks and demonstrate organizational effectiveness to regulators like the DOJ and SEC.

Key Highlights and Issues

  • The Importance of Speak Up Culture
  • Workforce Dynamics and Compliance
  • Challenges in Compliance Reporting
  • Whistleblower Programs and Internal Reporting
  • Optimizing Compliance Processes

Resources:

Nick Gallo on LinkedIn

Ethico

The FCPA Survival Guide: Surviving and Thriving a Foreign Corrupt Practices Act Enforcement Action

Tom

Instagram

Facebook

YouTube

Twitter

LinkedIn

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Everything Compliance

Everything Compliance: Episode 138, The AI in The EU Edition

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. We have a plethora of topics for this episode, including the DOJ Whistleblower Incentive Program, a look at Solar Winds, a new Caremark decision, an effective internal audit and the new AI law in the EU, which we slice and dice from a variety of perspectives.

We have the full quintet of Matt Kelly, Jonathan Armstrong, Karen Woody, Jonathan Marks, and our newest panelist, Karen Moore, all hosted by Tom Fox.

1. Jonathan Armstrong takes a look at the new EU Low regarding AI. He shouts out to Sir Andy Murray for a great career and life.

2. Matt Kelly asks multiple questions about the form of the guilty plea and what it may mean for compliance professionals going forward. He rants about Wyoming Senator Cynthia Lummis and her legislation for a Strategic Bitcoin Reserve.

3. Karen Moore considers the Centene case, which denied a Caremark claim. She rants about German TV only showing German competitors in their Olympic coverage and she shouts out to the perseverance of Ukrainians, where students attending class at the Kyiv School of Economics will stop class during an air raid and start class again when the All Clear is given.

4. Tom Fox shouts out to Simone Biles and the beauty, power, and grace of women’s gymnastics at the Olympics, going back to Olga Korbut.

5. Karen Woody takes a deep dive into the district court’s recent dismissal of the SEC complaint against SolarWinds. She shouts out to President Biden for bringing hostages home from Russia and a job well done.

6. Jonathan Marks reviews what makes internal controls effective.

The members of Everything Compliance are:

The host, producer, rantor (and sometimes panelist) of Everything Compliance is Tom Fox, the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the award-winning Compliance Podcast Network.

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Compliance Tip of the Day

Compliance Tip of the Day: The Unethical Request

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements.

Whether you’re a seasoned compliance professional or just starting your journey, our aim is to provide you with bite-sized, actionable tips to help you stay on top of your compliance game.

Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law.

Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

In this episode, we consider what happens and what the effects are when a superior makes an unethical request to you.

For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

To check out The Compliance Handbook, 5th edition, click here.