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Trekking Through Compliance

Trekking Through Compliance-Episode 62 – Day of the Dove

In this episode of Trekking Through Compliance, we consider the episode Day of the Dove which aired on November 1, 1968, Star Date unknown.
Compliance Takeaways:

  1. How to use disruption as an innovation.
  2. Integrating compliance into the business.
  3. Hitting the ground running as a new CCO.
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Daily Compliance News

Daily Compliance News: August 1, 2019, the no harm, no foul edition

In today’s edition of Daily Compliance News:
  • Martin Shkreli Loses His Appeal (NYT)
  • Surprise Surprise, Huawei making money. (WSJ)
  • Can Karinova pay her way out of prison? (Global Anticorruption Blog)
  • Are higher audit costs worth paying? (FT)
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12 O’Clock High-a podcast on business leadership

Episode 112-Leadership Lessons from Rutherford B. Hayes

This episode begins a short series on Gilded Age Presidents, now largely forgotten. In this episode we take up Rutherford B. Hayes.
 Some of the issues posed include:
Hayes Educational and Professional Background
The Disputed Election of 1876 and Compromise-(1)Election Commission; (2) Terms of the Compromise and (3) Was it necessary?
Hayes’ Presidency-(1) Reconstruction ends-was it inevitable? (2) Civil Service Reform; (3) Cabinet Selections; (4) Port of New York and (5) the Post Office.
Foreign Policy-(1) Paraguay War settlement; (2) Mexican border crisis and (3) Immigration issues.
Great RR Strike of 1877, the Great Western Tour, his Indian Policy and Lemonade Lucy
Hayes Leadership Issues-(1)“He serves his party best, who serves his country best.”; (2) Rutherford the Rover; (3) Use of veto and (4) Conflicts with Congress over Congressional v. Executive Power.
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Trekking Through Compliance

Trekking Through Compliance-Episode 61 – Spectre of the Gun

In this episode of Trekking Through Compliance, we consider the episode Spectre of the Gun which aired on October 25, 1968, Star Date 4585.3.
Compliance Takeaways:

  1. How can you overcome biases?
  2. Have you looked at your supply chain for compliance innovation?
  3. Moving compliance into the DNA of your organization.

 
 

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Compliance Into the Weeds

Compliance into the Weeds: Episode 133-Facebook Settlement

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 (the coolest guy in compliance) and I go into the weeds to explore recent Facebook settlement with the SEC and the FTC. We also explore what the new DOJ antitrust investigation may portend going forward.
Some of the highlights include:

  • This is now the second SEC settlement under this fact pattern.
  • The SEC settlement was three times the amount of the Yahoo settlement.
  • Did the FTC settle too low (or too high)?
  • Is Facebook prevented from doing anything going forward?
  • What is the impact if any on the stock price? Does the market even care?
  • Is the DOJ antitrust investigation simply a politically motivated attack?
  • Has the administration thought through the implications of its antitrust investigations?

For further reading on Conn’s see Matt’s blog posts: Facebook, Power and Antitrust Issues

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Daily Compliance News

Daily Compliance News: July 31, 2019, the changes at the DOJ edition

In today’s edition of Daily Compliance News:

  • Changes in the DOJ Fraud Section. (WSJ)
  • Micronesian government official sentenced in FCPA case. (WSJ)
  • Auditors in the spotlight in Oxy proxy fight. (MarketWatch)
  • Rolls Royce booked with bribery in India. (TheHindu)
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Great Women in Compliance

Hitting it out of the Park-an Interview with Fernanda Beraldi

In this episode of Great Women in Compliance podcast, Lisa had the opportunity to speak with Fernanda Beraldi, who is Senior Director, Ethics and Compliance at Cummins, Inc.  Fernanda started her career in Sao Paolo in Brazil, and started on her path to compliance when she was a junior attorney who worked on one of the first FCPA cases in South America and saw first-hand what can happen when people are not “walking the walk,” even if the policies are strong.
Fernanda came to the United States for a masters in law program in Indiana, and stayed in Indianapolis.  We discussed a number of different things, including:
  • Overcoming assumptions from others, including those in her LLM program assuming she would be interested in immigration or other South America focused areas;
  • Breaking down cultural barriers and stereotypes as a Brazilian woman in the mid-west United States and about her work-life balance
  • The use of American sports lingo and slang in business and some memorable and funny moments and conversations Fernanda has had in the US
You can find the Great Women in Compliance at our home on the Corporate Compliance Insights website at  https://www.corporatecomplianceinsights.com/great-women-in-compliance/
and you can also search for it on itunes or your favorite podcast player.
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Trekking Through Compliance

Trekking Through Compliance-Episode 60 – Is There No Truth in Beauty

In this episode of Trekking Through Compliance, we consider the episode Is There No Truth in Beauty which aired on October 18, 1968, Star Date 5630.7.
Compliance Takeaways: 

  1. How to hit the ground running as a new CCO.
  2. Design thinking in compliance.
  3. As CCO, are you an enterprise leader?
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Daily Compliance News

Daily Compliance News: July 30, 2019, are CEOs sociopaths edition

In today’s edition of Daily Compliance News:

  • In a provocative piece the NYT Dealbook explores a new approach to corporate governance. (NYT)
  • As a middle manager do you need stage presence? (FT)
  • Deutsche Banks even fouls about employee terminations.(FT)
  • FT OpEd says DOJ must make antitrust work for the tech era. (FT)
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Innovation in Compliance

Innovation Through Showing Your Values with Alex Zlatin

On today’s episode of the Innovation in Compliance Podcast, our host Tom Fox has the pleasure of speaking with Alex Zlatin. Alex is the author of “Responsible Dental Ownership: Balancing Ethics and Business Through Purpose”, a book about how small business owners should think through the purchase of a technology upgrade.
Upgrading: is it a Must?Alex explains how a lot of technologies such as Office Suite or even Windows are coming to the end of their lives, and so many companies are starting to look into upgrading their software to the next new thing. Alex points out that although such an upgrade can be beneficial, business owners have to ask themselves: is it an absolute must? Does it fit within the company’s budget? Is there a specific deadline the company needs to meet for every software to be upgraded? He adds that it is important to evaluate all of the options and weigh the pros and cons of which software upgrade to go with.
Balancing Ethics and Business Through PurposeTom goes deeper into some points found in Alex’s book, and asks, what are the necessary tools for operating a successful practice? Coming from a business background, Alex shares how a lot of his experience actually revolves around the dental world: a lot of dentists have so much experience in their profession, but they don’t have the experience in the business aspects of their practice – HR, being a landlord, and customer service to name a few. Alex also points out that as a corporate leader, you have to find your company’s purpose and then, make your entire business revolve around that purpose once you do.
An Open Letter to the Industry Alex explains how every week, he and his marketing team have a brainstorming meeting, and during one of these meetings, they had the idea to share their values with the world via a letter, or as he puts it, “scream out who they are, what they represent and why they do what they do.” He adds that the reason they decided to do it was to build trust with their clients. In order to build a relationship you have to show vulnerability, and that’s what they tried to do.
ResourcesAlex Zlatin Responsible Dental Ownership: Balancing Ethics and Business Through Purpose