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FCPA Compliance Report

FCPA Compliance Report: Adrienne Bellehumeur on Design – Centric Approaches to Internal Controls

Welcome to the award-winning FCPA Compliance Report, the longest running podcast in compliance.

In this edition of the FCPA Compliance Report, Tom Fox welcomes back Adrienne Bellehumeur, a chartered accountant and expert in internal controls and documentation.

Adrienne discusses her recent article on design-centric internal control and emphasizes the importance of focusing on design as the foundation for effective control programs. She outlines five key principles for improving control design and details her approach to challenging processes and governance systems. The conversation also touches on the necessity of continuously updating controls to adapt to evolving business and regulatory environments.

Adrienne shares tips on fostering better design through workshops, effective interviewing, and continuous improvement, while also addressing new developments such as AI and ESG. The episode finishes with insights into how internal controls can support whistleblower programs and the importance of back-to-basics documentation and information management.

Highlights in this Episode:

  • Professional Background
  • Design-Centric Approach to Internal Controls
  • Challenges and Importance of Good Design
  • Principles for Improving Control Design
  • Back to Basics: Adapting to New Business Developments
  • Whistleblower Programs and Internal Controls

 Resources:

Adrienne Bellehumeur on LinkedIn

Risk Oversight

New Approaches to Control Design

Tom Fox

Instagram

Facebook

YouTube

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Compliance Tip of the Day

Compliance Tip of the Day: Adapting Compliance Programs for Cloud Technologies

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 today’s episode, we discuss the role of compliance in getting companies ready for cloud technologies.

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

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Daily Compliance News

Daily Compliance News: June 24, 2024 – The LinkedIn Lacks Humor 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:

  • Does LinkedIn lack (or even need) humor? (FT)
  • Kaspersky leaders were sanctioned.  (WSJ)
  • The UK’s richest family was found guilty of worker abuse. (BBC)
  • Venezuela is set to join the FAFT 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 22 – Compliance Leadership Lessons from Space Seed

In this episode of Trekking Through Compliance, we consider the episode Space Seed, which aired on February 16, 1967, Star Date 3141.9.

The Enterprise discovers the derelict DY100 class spaceship S.S. Botany Bay, built in the 1990s. The Enterprise has no record of the ship, but this is not surprising as many records were lost in the great World War of Eugenics fought during that period.

The leader, who is discovered to be Khan Noonien Singh, is accidentally awakened when the lights are turned on. Khan admits that he is one of the supermen from the Eugenics Wars. After a struggle, Kirk maroons the superhumans on Ceti Alpha 5, leaving them sufficient supplies to enable them to colonize the uninhabited planet. Kirk gives McGivers a choice between a court-martial and being left behind with Khan, and she elects to stay with Khan.

Commentary

In this episode of ‘Trekking Through Compliance,’ host Tom Fox delves into one of the most beloved Star Trek episodes, ‘Space Seed.’ He explores the plot where the Enterprise discovers the SS Botany Bay and its leader, Khan Noonien Singh, a product of the 1990s eugenics wars. Khan’s attempt to take over the Enterprise and the subsequent events are detailed. Fox then translates these events into practical compliance and leadership lessons for professionals, emphasizing humility, ethical decision-making, robust checks and balances, balancing efficiency with ethics, fostering diversity and inclusion, encouraging empathy, and maintaining vigilance and preparedness. These insights help compliance professionals build more ethically grounded and resilient organizational cultures.

Key Highlights

  • Discovery of the SS Botany Bay
  • Khan’s Awakening and Takeover
  • Legacy of Space Seed
  • 06:21 Leadership Lessons from Space Seed

Resources

Excruciatingly Detailed Plot Summary by Eric W. Weisstein

MissionLogPodcast.com

Memory Alpha

 

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Sunday Book Review

Sunday Book Review: June 23, 2024 Books on WWI Edition

In the Sunday Book Review, Tom Fox considers books that would interest the compliance professional, the business executive, or anyone who might be curious.

It could be books about business, compliance, history, leadership, current events, or anything else that might interest me.

In today’s edition of the Sunday Book Review, we look at four books Tom Fox recommends for learning about World War I.

  • The Guns of August, by Barbara Tuchman
  • Storm of Steel by Ernst Jünger
  • Goodbye to All That, by Robert Graves
  • Seven Pillars of Wisdom by Thomas Edwards Lawrence

Resources:

Five Best: Books on World War I by Michael Korda

For more information on Ethico and a free White Paper on ROI for your compliance program, click here.

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Trekking Through Compliance

Trekking Through Compliance – Episode 21 – Return of the Archons

In this episode of Trekking Through Compliance, we consider the episode Return of the Archons, which aired on February 9, 1967, with a Star Date of 3156.2.

The Enterprise arrives at the planet Beta III in the C-111 system, where the USS Archon was reported lost nearly 100 years earlier. They find the inhabitants living in a 19th-century Earth-style culture, ruled by cloaked and cowled “Lawgivers” and a reclusive dictator, Landru.

It turns out that Landru “pulled the Archons down from the skies.” They learn that Landru saved their society from war and anarchy 6,000 years ago and reduced the planet’s technology to a simpler level.
Marplon takes Kirk and Spock to the Hall of Audiences, where priests commune with Landru. A projection of Landru appears and threatens them. Kirk and Spock use their phasers to blast through the wall and expose a computer programmed by Landru, who died 6,000 years ago. The computer neutralizes their phasers. Kirk and Spock argue that because the computer has destroyed people’s creativity by disallowing their free will, it is evil and should self-destruct, freeing the people of Beta III. The computer complies.

Commentary

The Enterprise crew encounters a repressive society ruled by an ancient computer, highlighting the dangers of centralized power and control. Key compliance takeaways include the need for decentralized governance structures, transparency and auditability, failsafe mechanisms, federated architectures, empowered redress and appeals processes, and human-centric design principles. These lessons aim to mitigate the risks of centralized power and safeguard individual liberties.

Key Highlights

  • Plot Summary: Return of the Archons
  • Compliance Lessons from the Episode
  • Decentralized Governance in Compliance
  • Ensuring Transparency and Auditability
  • Failsafe Mechanisms and Federated Architectures

Resources

Excruciatingly Detailed Plot Summary by Eric W. Weisstein

MissionLogPodcast.com

Memory Alpha

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Because That's What Heroes Do

Because That’s What Heroes Do: Deep Space 9 – Episode 6: The Siege

Get ready for an exciting new season of “Because That’s What Heroes Do.” This season, the hosts take a deep dive into their favorite 15 episodes of Deep Space 9, joined by DS9 maven Alex Murphy from Montreal. Murphy is a local historian and a fan of cinema and TV, with a love for weird foreign films, all things horror, and obscure media. He has been watching Trek since he was a tiny punk, and it’s been a lifelong love. Don’t miss out on the exciting new season of “Because That’s What Heroes Do!”

We conclude our three-part look at the opening trilogy from Season 2 with Part 3 of the season opening trilogy, “The Siege.”

In episode three of the “The Siege” arc, Murphy, Megan, and Tom delve into the concluding installment of this three-part trilogy, exploring key elements and significance to the series. Despite being considered the weakest of the three, this ‘shoot ’em up’ episode serves as a pivotal finale, resolving subplots involving several characters. The discussion highlights thematic elements such as Kira’s internal conflict, Quark’s actions driven by greed, and the overarching impact on the series’ future direction. The hosts also dissect performances, character arcs, and how this trilogy sets the stage for the evolving complexity of Starfleet, Bajoran politics, and individual character growth in Deep Space 9.

Key Highlights and Themes:

  • Overview and Initial Thoughts
  • Kira’s Emotional Journey
  • Starfleet’s Role and Consequences
  • The Death of Li Nalas
  • Kira’s Growth and Sisko’s Remarks
  • Final Thoughts on the Trilogy

Resources:

Megan Dougherty 

LinkedIn

One Stone Creative

Twitter

Tom 

Instagram

Facebook

YouTube

Twitter

LinkedIn

Categories
10 For 10

10 For 10: Top Compliance Stories For The Week Ending June 22, 2024

Welcome to 10 For 10, the podcast that brings you the week’s top 10 compliance stories in one podcast each week.

Tom Fox, the Voice of Compliance, brings to you, the compliance professional, the compliance stories you need to be aware of to end your busy week.

Sit back, and in 10 minutes, hear about the stories every compliance professional should be aware of from the prior week.

Every Saturday, 10 For 10 highlights the most important news, insights, and analysis for compliance professionals, all curated by the Voice of Compliance, Tom Fox.

Get your weekly filling of compliance stories with 10 for 10, a podcast produced by the Compliance Podcast Network.

  • A judge says BBVA should face a corporate espionage trial.  (Bloomberg)
  • Adidas probes corruption allegations. (WSJ)
  • Unusual betting patterns before the British election announcement. (FT)
  • Nigeria drops charges against Binance compliance professional.   (WSJ)
  • The best report yet on the corruption in the Houston Bankruptcy Court.  (WSJ)
  • The MLB umpire is under scrutiny for gambling. (WSJ)
  • Trafigura spanked for impeding whistleblowers. (WSJ)
  • China fights ‘deep-seated’ corruption in the armed forces.  (Reuters)
  • Why the ’G’ in ESG is the key. (Forbes)
  • Will the DOJ charge Boeing under the DPA? (WSJ)

 

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

You can check out the Daily Compliance News for four curated compliance and ethics-related stories each day, here.

Connect with Tom 

Instagram

Facebook

YouTube

Twitter

LinkedIn

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Kerrville Weekly News Roundup

Kerrville Weekly News Roundup: June 22, 2024

Welcome to the Kerrville Weekly News Roundup. Each week, veteran podcaster Tom Fox and his colleagues Andrew Gay and Gilbert Paiz get together to go over a couple of their favorite stories from the past week from Kerrville and the greater Hill Country.

Sit back, enjoy a cup of morning coffee and listen in to get a wrap up of the Kerrville Weekly News. We each consider two of our favorite stories and talk about the upcoming weekend’s events, which will enjoy or participate in.

In this episode, Tom and Andrew look at some of the stories  which caught their collective attention over the past week.

Stories Include

  • New Habitat for Humanity Home
  • New Leadership Kerr County Class
  • New location for Farmer’s Market
  • New Peterson Hospital Surgical Center Opens
  • City of Kerrville Budget Process Begins

Resources:

Tom Fox on LinkedIn

Gilbert Paiz on LinkedIn

Andrew Gay on LinkedIn

Texas Hill Country Podcast Network

The Lead

Kerrville Daily Times

Categories
Compliance Tip of the Day

Compliance Tip of the Day: Data Driven Compliance and Hybrid Work

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 today’s episode, we consider the need for new or additional analytics in the post-Covid era of hybrid work.

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