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Across the Board

Across the Board – Episode 4: Metrics and Senior Management

In this special 5-part podcast series, I am visiting with David Greenberg, Special Advisor at LRN. We are taking a deep dive into the LRN White Paper entitled, “What’s the Tone at the Very Top: Board and Compliance: The Role of Boards in Overseeing Corporate Ethics & Compliance”. In this podcast series we explore the white paper in depth and provide the Chief Compliance Officer and compliance practitioner with succinct and practical tips for educating, dealing with and reporting to a Board of Directors. In Episode 4, we look metrics which a BOD should consider and how a Board should oversee senior management around ethics, compliance and culture.
Some of the highlights from the podcast include:

  • CECOs want their boards will send stronger signals to executive management about the importance of embedding ethics and compliance in the company’s business.
  • CECOs want boards to hold management more accountable for ethics and compliance
  • A BOD should ask management ‘What have you done to assure compliance. Show me.’
  • Why should a Board be concerned about metrics around culture?
  • What measures should a Board employ for culture and ethics?

Check out the LRN White Paper What’s the Tone at the Very Top: Board and Compliance: the Role of Boards in Overseeing Corporate Ethics & Complianceby clicking here.

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Daily Compliance News

Daily Compliance News: April 29, 2019-the Welcome to my Tweet-Up edition

In today’s edition of Daily Compliance News:

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Daily Compliance News

Daily Compliance News: April 28, 2019-the Sunday Book Review edition

In today’s edition of Daily Compliance News:

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12 O’Clock High-a podcast on business leadership

Twelve O’Clock High-Episode 106-Metropolis by Philip Kerr

Richard Lummis and I are back and today we head in a different direction. We consider the final Bernie Gunther novel by Philip Kerr Metropolis. It is the final Gunther novel as Kerr died earlier this year. The novel is a prequel to the entire series, taking place in 1928, near the end of the Weimar Republic. Some of the highlights were:

  • The city of Berlin as a character in the novel;
  • Bernie Gunther as Phillip Marlow?
  • How close are the police to those they police?
  • What is the symbiotic relationship between the police and criminals of the city?
  • Why is the Weimar Republic in many ways the undiscovered country for Americans? and
  • Richard and I asses not only this book but the entire Gunther series.
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Daily Compliance News

Daily Compliance News: April 27, 2019-the Havlicek stole the ball edition

APRIL 27, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

  • What hath Zion wrought? (NY Post)
  • Petrobras revisiting its ill treatment of whistleblowers. (com)
  • Glencore under CFTC investigation for FCPA violations.(Bloomberg)
  • Who owns Huawei? (The company says it’s the workers.)(New York Times)
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Daily Compliance News

Daily Compliance News: April 22, 2019-the asking for a Ferrari edition

In today’s edition of Daily Compliance News:

  • McKesson employee compares asking for compliance resources to ‘asking for a Ferrari’. (New York Times)
  • Odebrecht scandal shows no sign of waning. (BBC)
  • Is Knicks’ owner James Dolan the worst owner in sports? (New York Times)
  • Brian Lamp signs off. (Wall Street Journal)
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FCPA Compliance Report

FCPA Compliance Report-Episode 427, Hanzo Q1 2019 Compliance, Risk, and Regulations Research Roundup

In this episode I take things in a bit of a different direction as I am interviewed by Sean Freidlin, Senior Product Marketing Manager, Compliance at Hanzo, on a project commissioned by Hanzo which became a part of the Hanzo Q1 2019 Compliance, Risk, and Regulations Research Roundup. Sean explains what the resulting white paper provides and then queries me on some of the deep dives I took into several areas.  Some of the highlights from the podcast include:

  • What is the Hanzo Q1 2019 Compliance, Risk, and Regulations Research Roundup?
  • The approach in writing the Roundup.
  • What were key macro highlights from the WEF Global risk Report 2019?
  • What were key micro business highlights from the Allianz Business Risk Barometer-Top Business Risks?
  • What are some of the key regulatory enforcement priorities going forward into 2019?
  • Where has compliance been over the past 18 months and where is it headed going forward?
  • Where listeners can go for more information.

To obtain a full copy of the  Hanzo Q1 2019 Compliance, Risk, and Regulations Research Roundup, click here.

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Daily Compliance News

Daily Compliance News: April 24, 2019-the bit player edition

In today’s edition of Daily Compliance News:

  • Opioid distributor faces criminal charges. (New York Times)
  • NCAA scandal; little fish=big charges. (New York Times)
  • Walmart investigates Flipkart’s compliance lapses and bribe paid to govt officials. (EnTracker)
  • How does the rest of the world see FCPA enforcement? (AsiaTimes)
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Compliance Into the Weeds

Compliance into the Weeds: Episode 120-On the Ethical Tarmac

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 take a deep dive into continued ethical, reputational and business imbroglio which Boeing finds itself in around the 737 MAX airliner, as the company finds itself on the ethical tarmac.
Some of the highlights include:

  • Where does compliance come into a sales strategy?
  • Who is responsible for entailing safety – the buyer or seller?
  • What does it mean from the compliance perspective is a safety upgrade is optional?
  • How does regulatory capture affect overseas sales?
  • What is the legal analysis around safety and options for safety upgrade on products?
  • Who should regulate the supply side-the government or the market?

For more reading check out Matt’s blog post “More on Boeing and Business Ethics

Categories
Daily Compliance News

Daily Compliance News: April 25, 2019-the Give a Hoot edition

In today’s edition of Daily Compliance News:

  • Give a hoot: don’t pay bribes and you won’t go to jail. (BBC)
  • My boss told me to break the law-now what? (Washington Post)
  • What is ‘naked indecency’? (New York Times)
  • Boeing admits the obvious, sales in the tank in the wake of the 737 MAX scandal? (Washington Post)