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FCPA Compliance Report

Emerging Issues in Healthcare Compliance and Monitoring-Episode 2- Focus on Opioid Prescribing – Identifying and Mitigating the Risks

In this special five-part podcast series, sponsored by Affiliated Monitors, Inc., I visit with AMI Managing Director Jesse Caplan on emerging issues in healthcare compliance and monitoring. In Episode 1, Jesse Caplan discussed the many different types of potential regulatory and liability risks healthcare provider organizations and practices face in connection with the prescribing of opioids.  In this Episode 2, we discuss how healthcare organizations can identify and mitigate the risks from opioid prescribing by their practitioners.

Some of the issues considered are:
What can healthcare organizations and their compliance departments do to identify and mitigate the risks from opioid prescribing?

  1. Healthcare organizations and medical practices can be proactive in making sure they have an opioid compliance program or plan, that the program incorporates all relevant federal and state laws and regulations, CDC prescribing guidelines and relevant standards of practice, that prescribers have been educated on the opioid prescribing program, and that the organization is assessing actual prescribing in order to flag potentially risky practices.
  2. An effective opioid prescribing program will incorporate policies and procedures that inform prescribers what they need to do before they prescribe opioids, and what needs to be documented. For example, what needs to be asked as part of the medical history of the patient?  Has the physician checked the state’s Prescription Drug Monitoring Program database (or PDMP) for that patient’s prescribing history?  Has the physician counseled the patient on alternatives as well as the  risks of using opioids?  Does the patient have a “pain contract”? And is all of this documented in the medical record?
  3. The program should also inform on the limitations on prescribing – quantity and dosages, and what combinations of drugs are counter-indicated.
  4. And the program should address what follow-up the physician should engage in with the patient after prescribing opioids – like what needs to be done before renewing a prescription – for example should blood or urine screening be required?
  5. The organization should also make sure that prescribers are being adequately educated on all appropriate prescribing policies, procedures, laws and regulations – both by the organization and whether the physician is taking MCLEs that are relevant to their practice.
  6. And finally, is physician prescribing being audited or monitored to identify potentially risky practices.

What are some examples of deficient opioid prescribing practices by, otherwise, experienced and caring physicians?

  1. Affiliated Monitors, working with physicians with expertise in opioid prescribing and pain management, have assessed the prescribing practices of many physicians who are legitimately trying to address the needs of their patients. In many cases, these physicians are not following evolving best practices, state and federal regulations, or CDC guidelines.  And as a result, they are putting not just their patients at risk of harm, but they are also putting themselves and their organizations at risk of legal jeopardy.
  1. Some of the most common deficiencies we see in opioid prescribing include:
  2. Physicians not conducting sufficient examinations to truly determine the cause of the patient’s pain that would warrant treatment with opioids, as opposed to other medications or non-medication treatments, like physical therapy. We see physicians prescribing opioids for conditions where opioid treatment is not the appropriate first line treatment, or not indicated as a treatment at all.
  3. Physicians not documenting sufficient medical, social or family histories, or considering those factors that could raise red flags for potential addiction or substance misuse.
  4. Not checking the state’s PDMP to see whether the patient is being prescribed controlled substances by other physicians.This is very important to see whether the patient may be doctor shopping, abusing medications, or taking combinations of medications that may be very dangerous.  
  5. Prescribing opioids in dosages, or numbers of pills, or in combinations with other drugs, that are inconsistent with guidelines or state laws and regulations.
  6. Not closely following patients on chronic opioid treatment programs and re-evaluating their pain diagnosis, and the efficacy of the opioid treatment, on a regular basis. Many patients on chronic opioid treatment programs should be subject to toxicology screens to help inform the physician whether the patient is taking the prescribed medications, and whether they are taking controlled substances that they have not been prescribed.  If a tox screen is negative for the medications prescribed, that could be a sign that the patient is diverting those medications.  If the tox screen is positive for controlled substance that have not been prescribed, that could be a sign that the patient has an addiction and is abusing medications. 
  7. Patients on chronic opioid treatment often should be followed with a “Pain Contract” – an agreement that the patient signs with the physician that explains the risks of opioid treatment, and that sets out the ground rules for what the patient is and is not permitted to do with the medications being prescribed. This Agreement will not only provide valuable information for the patients, but it also gives the physician a basis for discontinuing opioid treatment if the patient violates the Agreement.   
  8. Finally, the CDC recommends that naloxone be considered for many at-risk patients receiving 50 or greater Medical Morphine Equivalents of opioid medication.

What help is available to healthcare organizations to address these risks?

  1. Healthcare organizations can take a proactive approach by having experienced and expert clinicians in pain management and opioid prescribing assess the organization’s opioid program and policies, and review samplings of patient charts where patients have been prescribed opioids.Such an assessment can help identify gaps in the program, flag physicians who may be engaging in risky prescribing practices, and most important, offer recommendations for improving the program and physician prescribing practices.  This information can be used to mitigate risk to the organization, physicians and patients. 

Do monitoring firms like AMI provide these types of proactive assessments of opioid prescribing programs and practices?

  1. We have been engaged by hospital systems and physician practices to assess opioid prescribing programs and practices. We have relationships with experienced physicians who are experts in pain management and opioid prescribing who work with us to assess the programs, review patient charts, and make recommendations for improvement. 
  1. The bottom-line is that the goal of these proactive assessments is to identify areas for improved practices, provide clear guidance, and recommend relevant medical education to help physicians provide better and safer treatments for their patients, while also protecting them and their organizations from legal risks.

Join us for Episode 3, where we discuss the expanding use of independent monitors by health regulators.
For more information on Affiliated Monitors, check out their website here.

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Innovation in Compliance

Marketing through Podcasting with Gordon Firemark


What do you get when you mix podcasting with the law? Joining us on this episode is Gordon Firemark, an attorney in Los Angeles with a background in entertainment and podcasting law, and a podcaster himself. Find out how you can use podcasting to ethically market your firm, and how to protect yourself legally in this space.

The growth of podcasting
It’s developed as a really remarkable communications tool, but is still underutilized in many ways. It’s very exciting and a great opportunity for lawyers and businesses that are looking to reach their audiences in a different yet very powerful and effective way.
Legally, the issues are similar to the media law area: intellectual property, ownership, business entities, partnerships that happened by accident. There was once a major case where somebody filed a patent on podcasting technology, but now it’s been resolved. Hopefully that opens things up for people to start using it as a medium.
A marketing tool
Because Gordon does the show every month, that means SEO is fantastic and their website is easily discoverable. Audiences also get to hear your voice, get a sense of who you are, and can hear that you are knowledgeable and an expert in your field. This leads to a lot of international referrals — and not to mention, it’s a lot of fun and a great way to get the word out.
Objections and answers
Gordon takes on a few common questions would-be podcasters have:
“When does podcasting become attorney advertising that’s subject to regulation in my state?”
“It takes too much time.”
“What if I make a mistake on air?”
“I’m nervous about being on the microphone.”
Short form podcasts
People love short form content. It’s great customer outreach, and it’s a great opportunity for companies to reach their employees with updates, as well. People can listen at their desk, or, since it’s mobile, they can listen on their phone from wherever they are. For example, a CEO could become an even bigger celebrity in his company by doing a five-minute morning podcast!
The future of podcasting
Gordon sees more disputes on the horizon, especially as it concerns the use of third party content. Unlicensed music has become a big issue. Many podcasters don’t understand the legalities of using music for digital streaming, and Gordon is hoping to develop a streamlined approach to licensing music for podcasters to use in their shows.
Another thing coming up is ownership disputes. Podcasting is maturing to the point where people are breaking up fighting over the podcasts they started together. We’re going to start seeing cases involving the right of a person to control the use of their name, likeness, and persona.
Podfest teaser
Gordon is speaking at Podfest on a panel with two other lawyers. They’ve broken up the subject matter into different legal issues (e.g. intellectual property, copyright, trademarks and patents, ownership), with a lot of time for Q&A. They’ll also be talking about branding — with a lot of podcasts about things like TV shows and movies, it’s potentially a lot of hot water to fall into.
Resources
Gordon Firemark (Website)
Entertainment Law Update (Podcast)
Law Offices of Gordon P. Firemark (Website)
The Podcast, Blog & New Media Producer’s Legal Survival Guide: An essential resource for content creators (Amazon)

Categories
Daily Compliance News

Daily Compliance News: March 26, 2019-the UK AG edition

MARCH 26, 2019 BY TOM FOX


In today’s edition of Daily Compliance News:

  • Why is UK Attorney General sitting on Airbus corruption case? (The Guardian)
  • Ex-HK official sentenced to jail for FCPA, AML violations. (FCPA Blog)
  • Duke pays over $110MM for filing false research grant applications? (New York Times)
  • Charitable institutions to Sacklers: We don’t want your money. (New York Times)
Categories
Blog

King Lear Week: Part II – Engaging Your Audience

This past weekend I was lucky enough to catch the performance of King Learwith Glenda Jackson as the mad king. It was a magnificent production and if you have the chance to see, I would certainly urge you to do so. The production had many interesting features and interpretations which seemed to be great entrees into several compliance topics. Therefore, inspired by octogenarian Jackson and her performance, I am using King Lear as a deep dive into several compliance topics this week. Today, I want to discuss the opening scene where Lear bids his daughters express the breadth and scope of their love for him to introduce engaging your audience.
Lear has called a conference to divide his kingdom between his three daughters, Goneril, Regan and Cordelia, his youngest who is clearly is favorite. Goneril professes her love is more than words alone can convey, saying “A love that makes . . . speech unable / Beyond all manner of so much I love you”. Regan professes, “Myself an enemy to all other joys, Which the most precious square of sense possesses, And find I am alone felicitate in your dear Highness’ love.” However, Cordelia refuses to play the flattering fool. Her father twice gives her the opportunity to redress this decision but she holds firm saying “Nothing, my lord”. This leads to the break in the family, the deaths of the sisters and the fullest scope of tragedy.
Even after the intermission, where some of the most powerful scenes in all of Shakespeare playout; with the blinded Earl of Gloucester and the mad Lear wandering the moor, this production held a distinct focus on Lear’s daughters and their families, adding in the complexity of Edmund, the new Earl of Gloucester.
This theme of engaging your audience ties into a part of the five-episode podcast series I am running this week on the use of independent monitoring in health care, with Jesse Caplan, Managing Director at Affiliated Monitors Inc. (AMI), the podcast series sponsor. Last week I discussed the use of an independent monitor as part of the solution to the combat the opioid crisis. Today, I want to consider how health regulatory agencies are engaging their audiences through independent monitoring, to serve important public policy goals – specifically to help ensure a ready supply of quality health care providers (HCPs), particularly for government programs like Medicaid and Medicare. 
Caplan explained, “As investigative, enforcement, and regulating agencies, the governments’ objectives are to ensure, above all, that patients and health care consumers receive high quality and safe care, that taxpayer money is efficiently and well spent, and that there is a healthcare industry environment and culture of compliance, transparency, and quality.” Unfortunately, there are times when HCPs cannot or will not meet these standards. When this occurs, regulators tend to come down hard, including taking action to exclude the business or the individual provider from delivering healthcare services. However, in many cases what the health care practitioner really need is remediation. Caplan explained, “If a healthcare company or practitioner can operate in the future in a manner that meets the government’s objectives – compliance, transparency and high-quality care – that is good for the industry and the patients and clients they serve.”
Unfortunately, the government typically does not have the resources to closely monitor a healthcare practitioner to ensure that they have satisfactorily remediated their problems and are continuing to operate at the highest ethical and quality standards.  When the government assigns resources to monitor ongoing activities of a company that has had significant compliance problems, there are less resources available to investigate new complaints about other healthcare companies, or to take enforcement actions where necessary. From Caplan’s perspective, “Without independent integrity monitoring, the government may feel that the best way to protect the public and the government fisc is to take a very hardline enforcement approach that means exclusion from government healthcare programs, or revocation of an organization’s or practitioner’s healthcare license.”
The bottom line is that independent integrity monitoring can provide an alternative – it offers the ability to have an independent and credible firm closely monitor the healthcare company and their ongoing compliance thereby protecting the public without having to use government resources to do so.  
I asked Caplan what the value to the parties is in having an independent integrity monitor rather than a severe sanction such as putting a HCP out of business? He began with the benefits to the government agency or regulator. Here the value begins and ends with the monitor providing unfiltered reporting back to the regulator or agency. Caplan listed four additional key reasons: 

  • The regulator gets to impose the conditions that the healthcare entity is required to meet;
  • The regulator has the opportunity to choose or approve the independent agency or individual who will be monitoring the conditions;
  • The regulator will receive back an independent confirmation that the healthcare organization is operating in a safe and effective manner;
  • And, finally, the regulator is not required to expend scarce resources on a settled case but instead use those resources on other investigations or regulatory matters. 

We then turned to the benefits directed towards the healthcare organization which has an independent integrity monitor imposed. First and foremost, the organization may be in a position where agreeing to independent monitoring is their only alternative to having their licenses suspended or being excluded from government programs.  Yet, the monitoring engagement can be a real positive and benefit for the organization.
Caplan said that by “having an experienced third party assess your compliance with conditions – and in particular identify where the organization is meeting or exceeding its requirements as well as the areas where there are gaps in compliance – can be very valuable.” Usually a monitor will communicate to the organization what they are doing well, and what they need to improve on before reporting to the regulating agency.
This feedback gives the organization the opportunity to remediate the required areas before these gaps are reported to the regulator. Moreover, if a HCP is not able to timely remediate the gap, it can be prepared to present a plan on how they intend to address an identified deficiency.  Caplan concluded the “independent monitor serves as a bridge between the organization and the regulator and can help the organization navigate its compliance with the required conditions.”
We concluded by looking at how independent monitoring in healthcare can be used in new and innovative ways. In Parts 1 and 2, I wrote about using an independent integrity monitor as part of the solution to the opioid crisis. Another innovative area is around patient safety. Caplan provided an example of  two hospital systems, which risked losing the accreditation status and their Medicare participation. They entered into consent agreements with the state Department of Health (DOH) and the decree “included a series of remedial measures, working with The Joint Commission, implementing Targeted Solution Tools, reporting to the Boards of Trustees and Quality Oversight Committees of the two systems, and reporting progress to the DOH. In both cases the DOH required the hospital systems to engage an independent monitor to observe, validate, and report on their compliance with all of these conditions.” By having an independent integrity monitor serve as a bridge in facilitating their compliance with all the conditions in the Consent Agreements saved the HCP and DOH a scarce resource in the community in which it operates.
I hope you will join me all week and, more importantly, enjoy my exploration of this most innovate and unique production of King Learas well as the story of one of Shakespeare’s greatest tragedies to introduce a daily compliance topic this week. Tomorrow I will consider the focus on the family as the main storyline.
Join Jesse Caplan and myself for our 5-part exploration of emerging issues in healthcare compliance and monitoring. The podcast will be available on the FCPA Compliance Report, iTunes, JDSupra, Panoply, YouTube, Spotifyand Corporate Compliance Insights.
This publication contains general information only and is based on the experiences and research of the author. The author is not, by means of this publication, rendering business, legal advice, or other professional advice or services. This publication is not a substitute for such legal advice or services, nor should it be used as a basis for any decision or action that may affect your business. Before making any decision or taking any action that may affect your business, you should consult a qualified legal advisor. The author, his affiliates, and related entities shall not be responsible for any loss sustained by any person or entity that relies on this publication. The Author gives his permission to link, post, distribute, or reference this article for any lawful purpose, provided attribution is made to the author. The author can be reached at tfox@tfoxlaw.com.
© Thomas R. Fox, 2019

Categories
FCPA Compliance Report

Emerging Issues in Healthcare Compliance and Monitoring-Episode 1–Focus on Opioid Prescribing – Regulatory and Liability Risks

In this special five-part podcast series, sponsored by Affiliated Monitors, Inc., I visit with AMI Managing Director Jesse Caplan on emerging issues in healthcare compliance and monitoring. Healthcare provider organizations and practices face many different types of potential regulatory and liability risks – in this first episode we focus on the risks posed by opioid prescribing. We consider the some of the following issues: 

What are the risks to providers and health care organizations from opioid prescribing? 

  1. Policymakers and the healthcare industry are trying to address the opioid crisis in a number of different ways. One of those ways is to focus on the prescribing of opioids, with the goal of significantly reducing the number of people who are prescribed opioids and become addicted or who divert legally prescribed drugs. 
  2. Health care providers who engage in inappropriate opioid prescribing are increasingly subject to discipline by professional medical boards. They face restrictions on their licenses to practice, and in certain cases, have had their licenses suspended or revoked. 
  3. Where patients are harmed, providers face civil medical malpractice liability.
  4. And in the most egregious cases, providers have been prosecuted criminally, either under the federal Controlled Substances Act or state criminal laws. 

What has been the response of the Department of Justice? 

  1. The Department of Justice (DOJ), both in Washington and in individual United States Attorney’s Offices, have become more aggressive at identifying providers with problematic or suspicious opioid prescribing records.
  2. For example, in 2017, then Attorney General Jeff Sessions announced the formation of the Opioid Fraud and Abuse Detection Unit.In his announcement the Attorney General stated DOJ would use data analytics to identify physicians who are writing opioid prescriptions at a rate that exceeds other physicians, and how many of a doctor’s patients died within 60-days of an opioid prescription.
  3. In 2018, US Attorneys in Massachusetts and Georgia sent warning letters to physicians who had relatively high opioid prescribing histories, or physicians who may have had a patient die from an overdose, or who died for any reason within two-months of being prescribed opioids.
  4. In the letters in Massachusetts, the US Attorney reminded the physicians that prescribing opioids without a legitimate medical purpose or in excessive amounts is illegal. Of course, this begs the question:  for physicians who genuinely care about their patients and are trying to treat real chronic pain, how do they ensure they are prescribing for a legitimate medical purpose or diagnosis where opioid treatment is both indicated and appropriate?  What dosages or number of pills is “an excessive amount” that could put the physician at legal jeopardy?  

What are legislators and regulators doing to address the opioid crisis? 

  1. The crisis has resulted in new laws and regulations addressing hospital staffing, their discharge and treatment processes, limits on the quantity and dosages of opioids that can be prescribed, and mandated use of state Prescription Drug Monitoring Program databases (PDMPs).   
  2. Just this February, CMS issued a letter to all Medicare providers with what they call their “roadmap”, focusing on “preventing new cases of opioid-ise disorder,” “treating patients with opioid use disorders,” and “using data to target prevention and treatment activities.” 
  3. As a result of this evolving legal environment, individual physicians and physician extenders, group practices, hospitals, and even insurance companies who are increasingly employing physicians, face significant regulatory and liability risks if they are engaging in inappropriate and dangerous opioid prescribing practices, or not complying with the increasingly complex prescribing laws and regulations. 

What is the legal and regulatory framework impacting opioid prescribing?

  1. There are a number of federal and state laws impacting opioid prescribing practices. Some of the more recent and significant developments include state laws limiting the quantity and dosage of opioids that can be prescribed and requiring providers to use and check PDMP databases before prescribing certain drugs to a patient.  There are also more sophisticated guidelines for practitioners, including CDC Guidelines, for prescribing opioids, which are becoming the standard of care for prescribers. 
  2. For example, just about every state has a PDMP, which is a database that tracks a patient’s history of opioid prescriptions.Increasingly, states require providers to check the PDMP before prescribing opioids.  By checking the PDMP the physician can be informed whether the patient appears to have an addiction problem, may be doctor-shopping for opioid prescriptions, may be diverting drugs, or might be at risk for dangerous drug interactions. 
  3. More and more states are passing laws limiting the quantity or dosage of opioids prescribed. For example, Massachusetts, the first state to pass such a law in 2016, set a seven-day limit on initial opioid prescriptions. 
  4. The CDC’s Guidelines are targeted to primary care physicians treating adult patients for chronic pain and are designed to improve communications between providers and patients about the benefits and risks of using opioids, and ultimately to reduce opioid addiction and overdoses.  According to the CDC, the three main principles behind the Guidelines are:
  5. Non-opioid therapy is preferred for chronic pain in most circumstances;
  6. The lowest possible effective dosage should be prescribed; and
  7. Clinicians should always exercise caution when prescribing opioids and should closely monitor their patients who have been prescribed opioids.
  8. The CDC then offers 12 separate recommendations addressing each of these principles.

What should be the primary compliance concerns for healthcare organizations in connection with the opioid crisis?

  1. The big questions for healthcare organizations are:
  2. Do you have policies and procedures in place to ensure that your staff, and particularly your physicians, are aware of all the new requirements for opioid prescribing?
  3. Have your providers and staff been educated in those policies and procedures?
  4. And are they actually following appropriate opioid prescribing practices, and all relevant laws and regulations, including the organization’s own prescribing polices? 

Join us for Episode 2, where we discuss how healthcare organizations can identify and mitigate the risks from opioid prescribing.
For more information on Affiliated Monitors, check out their website here.

Categories
FCPA Compliance Report

FCPA Compliance Report-Episode 423, Sarah Hadden on the New CCI

In this episode I visit with Sarah Hadden, the new Editor-in-Chief at Corporate Compliance Insights (CCI). We discuss her professional background in journalism and her journey to becoming EIC at Corporate Compliance Insights. Some of the highlights from the podcast include:

  1. Her professional background as a journalist and how it informs her thinking for CCI.
  2. What drew her to CCI and the compliance space?
  3. Her ascension to the EIC role at Corporate Compliance Insights.
  4. How did CCI accomplish content marketing?
  5. What do you hope to accomplish with CCI?
  6. The CCI website recently went through a face-lift. What are some of the key elements of this new look?
  7. Why is CCI “not a house cat anymore”?
  8. Where can listeners go for more information?
  9. Calling all authors-CCI looking for new contributors

Resources:
Check out the newly redesigned CCI Website here.

Categories
Daily Compliance News

Daily Compliance News: March 25, 2019-the would you do business with this man edition

MARCH 25, 2019 BY TOM FOX


In today’s edition of Daily Compliance News:

Categories
Blog

King Lear Week: Part I – Innovation in Compliance Podcasting

This past weekend I was lucky enough to catch the performance of King Learwith Glenda Jackson as the mad king. It was a magnificent production and if you have the chance to see, I would certainly urge you to do so. The production had many interesting features and interpretations which seemed to be great entrees into several compliance topics. The play was directed by Sam Gold and it was scored by Phillip Glass but the star power was derived from Jackson as King Lear. It was a fabulous take on the story and one that will resonate directly to our turbulent times. Therefore, inspired by octogenarian Jackson and her performance, I am going to use King Lear as a deep dive into several compliance topics this week. Today, I want to use the nature of the production, to introduce the day’s topic of some great new innovation and additions to the Compliance Podcast Network.
Gold’s Lear production was both unique and innovative. It was quite a large stage but the lightening was used to great effect. When the director wanted to shift the action, to another group of actors or topic, the lights were simply shut off to the actors not involved. They did not have to exit the stage and then return. This allowed them to remain on stage and the action could move back and forth without disruption.
The second innovation was in the use of music. While I am generally not a fan of music in Shakespeare, unless used in the original show notes, such as bugles blaring; I am not a fan of music in the performances. However there was a classical quartet which played throughout the performance that I felt truly enhanced the entire production. Finally, I normally revolt at any singing in a Shakespearian production. There were a couple of singing scenes which almost worked for me but at least they did not detract from the overall performance.
These two innovations in lighting and music introduce today’s topic. As many of you know, the Compliance Podcast Network is now available through the online streaming service Spotify. With the revamp of Corporate Compliance Insights (CCI), the Compliance Podcast Network is now available on that site as well. Both of these additions are in addition to the other platforms I currently distribute the podcasts through, including the FCPA Compliance Report, Megaphone, JDSupra, YouTube and iTunes. By adding Spotify and CCI to the number of platforms for distribution of the Compliance Podcast Network, it continues to have the widest reach of any podcast in compliance.
Continuing this theme of innovation at the Compliance Podcast Network, I am extraordinarily pleased to announce that there are two new podcasts, which have been approved by iTunes,  and now join Great Women in Compliance as two additional non-Tom Fox produced podcasts, Modern Medium and Phorensically Speaking. They premier on this site today, as well as all other platforms going forward. They will be posted bi-weekly going forward.
The podcast Modern Medium is presented by Paris Fox  and will help the compliance practitioner understand two key challenges: communicating compliance to millennials and the full use of graphic design and art in a best practices compliance program. While you probably do not consider the philosophy behind the use of graphic arts to be a part of your compliance remit, if you follow this podcast you will not only understand the use of this communication tool but also more broadly understand communications in the context of your compliance program. Finally, your communication with millennials will be the largest part of your job going forward because they will likely constitute the largest component of your workforce. Reaching them and incorporating their thought leadership into your compliance program will be a key for you moving forward. Finally, if you find yourself stuck in a creative rut, sometimes it’s difficult to know where to begin with an idea. Even when you do have an idea, it’s easy to get caught up in what you think something is supposed to be or what it’s supposed to look like. It is an important part of the process to learn how to let go. The Modern Medium podcast will assist you in this quest!
The podcast Phorensically Speaking is presented by Jonathan Marks. Marks is a prolific author, speaker and thought leader in the forensic accounting space. You may know him from his blog, Board and Fraud, speaking at industry events or scholarly articles. If you have been fortunate enough to work with him, consider yourself lucky for having collaborated with a thought leader in the field. I have been after Marks to join the compliance podcast network for some time and he has finally done so. Listen in and learn from one of the country’s top forensic accountants/compliance practitioners about the difference in perspective from a legal trained compliance practitioner.
In addition to these two great new podcasts premiering today, I have added two podcasts from outstanding podcasts series. They are Dupe of the Week, a weekly podcast that discusses deception in a variety of areas such as business, politics, education, nonprofits and love. It’s a quick way to protect yourself from becoming a victim. Join forensic accounting experts Kelly Richmond Pope and Bill Kresse for a look into the latest scams. Some of the most recent podcasts include the college-admissions scandal, the Fyre Festival, Christmas purchasing scams and many others.
The second podcast addition is Mike Volkov’s signature podcast from his website, Corruption, Crime & Compliance. In addition to his uber-cool use of the Henry Mancini’s The Pink Panther theme music, he breaks down the Foreign Corrupt Practices Act (FCPA), compliance, data privacy, anti-trust and a wide variety of other issues. It is also a weekly podcast.
I hope you will join me all week and more importantly enjoy my exploration of this most innovate and unique production of King Learas well as the story of one of Shakespeare’s greatest tragedies to introduce a daily compliance topic. Tomorrow I will consider the story of Lear’s family, as it was presented as the key to this latest production of Shakespeare’s greatest tragedy.
This publication contains general information only and is based on the experiences and research of the author. The author is not, by means of this publication, rendering business, legal advice, or other professional advice or services. This publication is not a substitute for such legal advice or services, nor should it be used as a basis for any decision or action that may affect your business. Before making any decision or taking any action that may affect your business, you should consult a qualified legal advisor. The author, his affiliates, and related entities shall not be responsible for any loss sustained by any person or entity that relies on this publication. The Author gives his permission to link, post, distribute, or reference this article for any lawful purpose, provided attribution is made to the author. The author can be reached at tfox@tfoxlaw.com.
© Thomas R. Fox, 2019

Categories
This Week in FCPA

This Week in FCPA-Episode 147 – the Spring has Sprung edition

As the St. Patrick’s Day weekend is past and Spring has sprung all over Tom and Jay are back to take a look at some of this week’s top compliance and ethics stories which caught their collective eyes this week.

  1. What are some of the lessons for compliance professionals from the college admissions scandal? Bob Conlin and Carrie Penman lay them out in Navex’s Ethics and Compliance Matters. 
  2. How did the FCPA Corporate Enforcement Policy change for messaging apps? Nate Lankford and Dawn E. Murphy-Johnson spell it out for you in the FCPA Blog.
  3. What’s the difference between concurrent, consecutive and stacked? Sara Kropf explains it all her great blog, Grand Jury Target.
  4. Even the big dogs can be defrauded. Kristen Broughton reports on fraud which cost Google and Facebook over $100MM in the WSJ Risk and Compliance Journal.
  5. Training wheels will continue to be useful in the future. Ken Wielerstein explains in the Analysts Syndicate.
  6. The business response leads to better compliance through FinTech. Matthew Epstein and Robert Werner discuss in NYU’s Compliance and Enforcement Blog. Sonny Singh in Corporate Compliance Insights.
  7. Cyber breach disclosures are a mess. Matt Kelly reports in Radical Compliance.
  8. The Editor speaks on insider threats. Compliance Week Editor Dave Lefort discusses what he learned at Compliance Week West, in Compliance Week. (sub req’d)
  9. Jaclyn Jaeger looks inside the FBI Office of Integrity, in Compliance Week. (sub req’d)
  10. Following up on his blog post series on the MTS FCPA settlement, Tom moves to the audio format for a podcast series on the enforcement action.Check out the following: Part 1-background;Part 2-bribery schemes; Part 3– missed red flags; Part 4-the individual indictments; and Part 5-lessons learned. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Panoplyand YouTube. The Compliance Podcast Network is now also on Spotifyand Corporate Compliance Insights.
  11. In Houston on Tuesday? Join Tom and Katie Smith at Convercent’s Roundtable Lunch. Registration and information are here. If you are not in Houston, then join Tom, Louis Sapirman and Katelyn Conlyn for a Convercent webinar on how to better engage with your employees. Registration and information for the webinar found here. Best of all, both events are FREE.
  12. Check out the latest edition of Popcorn and Compliancewhere Tom and Jay looked at Captain Marvel from the compliance perspective.
  13. Join Tom and AMI’s Jesse Caplan next week for a 5-part exploration of emerging issues in healthcare compliance and monitoring. The podcast will be available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Panoply, YouTube, Spotify and Corporate Compliance Insights.

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.
For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.

Categories
Daily Compliance News

Daily Compliance News: March 23, 2019-the who’s on your Board edition

MARCH 23, 2019 BY TOM FOX


In today’s edition of Daily Compliance News:

  • Should safety be a ‘nice to have’? (New York Times)
  • Boeing loses first contract for 737 MAX jets. (Wall Street Journal)
  • Unrepentant Rujat Gupta says jury got it wrong, he never violated the law. (New York Times)
  • What is his compliance experience? Shaq joins the Papa John Board of Directors (Business Insider)