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Daily Compliance News

Daily Compliance News: June 20, 2024 – The Beyond the ‘G’ 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:

  • Why the ’G’ in ESG is the key.  (Forbes)
  • China fights ‘deep-seated’ corruption in the armed forces. (Reuters)
  • Trafigura spanked for impeding whistleblowers. (WSJ)
  • ROAR in retirement. (NYT)

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

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Everything Compliance

Everything Compliance: Episode 136 – The Great Women in Compliance Edition

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have a very special group of guest panelists and one special guest host—some of the great women in compliance.

In this special episode, Everything Compliance is by Kristy Grant-Hart, and the guest panelists include Karen Woody, Karen Moore, Lisa Fine, and Hemma Lomax.

1. Karen Woody takes a deep dive into the current evolution of Caremark in Delaware. She raves about her alma mater, UVA, making the college baseball World Series and about this special GWIC-inspired edition of Everything Compliance.

2. Host Kristy Grant-Hart shouts out to Rachel Rodgers, author of We Should All Be Millionaires, and her call to action for women to lead more in politics, business, and entrepreneurship.

3. Karen Moore explores whether Boeing will be prosecuted under its current DPA. She sends sympathies to the family of John Barnett, the Boeing whistleblower who died.

4. Lisa Fine takes a deep dive into the recent acquittal of Mike Lynch in his criminal case for the sale of Autonomy to HP. In her Raves and Rants segment, she has two raves. First to all the Dads out there, Happy Father’s Day!  Her second is Compliance Week, retiring EIC Kyle Brasseur for his tenure at Compliance Week.

5. Hemma Lomax goes into a deep rant about compliance training. She raves about Everything Compliance for its first Great Women podcast and Jiminy Cricket, whose signature phrase is “Let your conscience be your guide.”

 

The members of this special episode of Everything Compliance are:

• Karen Woody is one of the top academic experts on the SEC. She is also the co-host of the award-winning podcast, The Woody Report.

• Karen Moore is an Adjunct Law professor at the Fordham School of Law.

• Lisa Fine is a co-host of the award-winning Great Women in Compliance.

• Hemma Lomax is a co-host of the award-winning Great Women in Compliance.

The host of this special episode of Everything Compliance is Kristy Grant-Hart, founder of Spark Compliance and co-host of the award-winning podcast 2 Gurus Talk Compliance.

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Great Women in Compliance

Great Women in Compliance: GWIC and Everything Compliance

Welcome to the Great Women in Compliance podcast on the Compliance Podcast Network, sponsored by Corporate Compliance Insights.

In today’s episode, we have a special episode which is cross-posted with Everything Compliance, which we call Ladies Night: Exploring Compliance in All-Female Podcast Takeover.

In this special Ladies Night edition of the Everything Compliance Podcast, guest host Christy Grant Hart is joined by notable women in compliance as guest panelists,  Karen Woody, Karen Moore, Lisa Fine, and Hema Lomax, for an in-depth discussion.

Topics covered include the complexities of Caremark duties and its recent interpretations, Boeing’s ongoing compliance issues, the implications of the Mike Lynch acquittal on due diligence, and ways to enhance the effectiveness of compliance training. The episode wraps up with each guest sharing their raves, offering insights and reflections on the state of compliance today.

  • Karen Woody on Caremark Duties Explained
  • Karen Moore on Boeing’s Compliance Issues
  • Lisa Fine on the Mike Lynch acquittal and HP’s Acquisition of Autonomy
  • Hemma Lomax on Effective Compliance Training
  • Rants and Raves

You can join the LinkedIn podcast community.
Join the Great Women in Compliance podcast community here.

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Hill Country Artists Podcast

Hill Country Artists Podcast: Laura Williams on Plein – Air Painting and Hunt Art Fair

Delve into the heart of the Texas Hill Country with the award-winning “Hill Country Artists Podcast,” which illustrates and illuminates the vibrant tapestry of art rooted in this iconic region. From the sun-drenched limestone cliffs to the serene Guadalupe River, the Hill Country has been a muse for countless artists, providing a unique backdrop for creativity to flourish.

In each episode, we uncover the stories behind the area’s most captivating artworks, converse with local artists about their inspirations, and explore the fusion of Texan traditions with contemporary artistic expressions.

In this episode, host Tom Fox welcomes Laura Williams, a member of the ‘Magnificent Seven,’ to discuss the thriving local art scenes in Kerrville and Hunt, Texas.

Laura shares insights about the group’s formation and their shows, as well as the evolution and rebranding of the Hunt Art Fair into the Hill Country Artists Art Fair. Key highlights include the diversity of art styles, the supportive artist community, and preparations for upcoming events. Laura also details the beauty of the venue, Bridget’s Basket, and her own artistic endeavors in plein air painting and smaller works inspired by local wildflowers.

Key Highlights:

  • The Hunt Art Fair Origins
  • Rebranding to Hill Country Artists
  • Bridget’s Basket Venue
  • Plein-Air Painting Explained
  • Other Artists at the Fair
  • The Local Art Scene

Hill Country Artists

Hunt Art Fair

Categories
Pawtastic Friends - The Paw Talk

Pawtastic Friends: The Paw Talk – Fanta, Valentino and Will

Welcome to Pawtastic Friends: The Paw Talk. In this podcast, host Tom Fox will visit with Michael and Melissa Novelli, co-founders of Pawtastic Friends, as well as those who work with them at Pawtastic Friends. Michael and Melissa are dedicated to helping shelter and rescue dogs in the Las Vegas area become more adaptable through enrichment training and activities such as yoga and aquatics training, as well as obedience and agility. This podcast is sure to tug on your heartstrings; just listen to how sweet this one dog is!

Tune in now to hear more from Michael and Melissa Novelli as they discuss their passion for helping pups in need. Get ready for an exciting episode of Pawtastic Friends: The Paw Talk!

In this episode, we feature Fanta, Valentino, and Will.

Rescue dogs often require extensive training to build their confidence and trust, making the search for their forever homes both critical and challenging. Michael and Melissa Novelli, share a deep understanding of the dedication and patience needed by potential owners. They emphasize the importance of homes that allow dogs like Fanta and Eli, who have had no prior training, to grow at their own pace with continuous support, using Will’s transformation from a dog with severe separation anxiety into a happy pet as an inspiring example.

Michael highlights the unique challenges faced by rescue dogs, such as Eli’s deafness and partial blindness, stressing the need for a supportive environment and the significance of bonding with dogs like Valentino, who requires time and space to trust humans. Melissa underscores the necessity of ongoing commitment from adopters, particularly for special needs dogs, praising dedicated owners like Danny for their unwavering dedication, which helps rescue dogs thrive. Together, their perspectives illuminate the transformative power of love, patience, and continued training in providing rescue dogs with the stability and happiness they deserve.

Quotes:

“A very, very patient homeowners, you know, that are going to be dedicated and committed, that aren’t going to let these dogs down again.” – Michael Novelli

“It’s not just, hey, I’m going to send my dogs to training. They have to share the videos. They have to do promote the dogs, because at the end of the day, the common goal is to get the dog adopted.” Melissa Novelli

“Fanta and Eli have special needs and require basic training to build confidence and trust.” – Mellisa Novelli

 Resources

Pawtastic Friends

Donate to Pawtastic Friends

Pawtastic Friends on Instagram

Pawtastic Friends on Facebook

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FCPA Survival Guide

FCPA Survival Guide: Step 4 – Root Cause Analysis

How can you survive an FCPA enforcement action? In this special podcast series, Tom Fox and Nick Gallo outline the Top 10 things you can do to reduce your overall fine and penalty, perhaps down to a complete 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 the DOJ requirement that your remediation begins with a root cause analysis.

In this episode, host Tom Fox and co-host Nick Gallo discuss the importance of conducting a root cause analysis in compliance programs, particularly in light of the recent FCPA enforcement actions highlighting its significance. They use SAP’s approach to root cause analysis as a prime example of effectively identifying and remedying the underlying causes of compliance failures rather than merely addressing symptoms. They relate the human tendency to stop at superficial answers and the importance of discipline in continually asking ‘why’ to uncover true or ‘root’ causes. This approach satisfies regulatory expectations and builds a robust compliance program to prevent future violations. They underline the importance of storytelling in compliance, framing the root cause analysis and subsequent remediation efforts in a narrative that resonates with internal and external audiences, including regulators.

Key Highlights and Issues:

  • The Importance of Root Cause Analysis in Compliance
  • Human Nature and the Challenge of Deep Analysis
  • DOJ’s Expectations
  • The Art of Storytelling in Compliance

 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

Categories
Trekking Through Compliance

Trekking Through Compliance – Episode 18 – Leadership Lessons from Arena

In this episode of Trekking Through Compliance, we consider the episode Arena, which aired on January 19, 1967, with a Star Date of 3045.6.

The Enterprise arrives at the Cestus III Outpost by invitation of its commanding officer, but the crew finds the outpost obliterated and then under attack from an unknown vessel. Both ships enter a new space sector and lose all propulsion power shortly after. Enterprise is contacted by the Metrons, who announce they will pit the respective captains in a one-to-one battle to the death. Kirk is transported to the planet’s surface along with the other captain of the Gorn.

Kirk attempts to communicate with the Gorn but has not received a response. Kirk lies in wait for the Gorn and fires on him. As Kirk prepares to deal a death blow, he considers the Gorn’s claims that the attack on Cestus III was only self-defense and allowed him to live. Suddenly, the Gorn disappears, and a Metron appears to Kirk, congratulating him on not only winning the battle but showing the advanced trait of mercy for one’s enemy, leading the Metron to comment that “you are still half-savage, but there is hope,” and that the Federation should seek out the Metrons again in several thousand years.

Commentary

In this episode of ‘Trekking Through Compliance,’ host Tom Fox explores episode 18 of the original Star Trek series, ‘Arena.’ The narrative details Captain Kirk’s encounter with the Gorn and the intervention by the Metrons, who force them into a duel to the death. Key elements include the destruction of the Earth Observation Outpost, the high-stakes battle between Kirk and the Gorn, and Kirk’s ultimate moral and strategic decisions. Fox highlights several leadership lessons for compliance professionals drawn from the episode, including adaptability, empowering subordinates, emotional intelligence, strategic thinking, and principled decision-making. These insights aim to enhance the skills of compliance officers in navigating corporate governance and risk management.

Key Highlights

  • The Duel: Kirk vs. The Gorn
  • Behind the Scenes and Cultural Impact
  • Leadership Lessons from Arena

Resources

Excruciatingly Detailed Plot Summary by Eric W. Weisstein

MissionLogPodcast.com

Memory Alpha

 

Categories
Compliance Tip of the Day

Compliance Tip of the Day: Converged Continuous Compliance

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 explore how converged continuous compliance can reunite compliance, security, and risk management, emphasizing data governance oversight and advocating for automation.

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

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The Hill Country Podcast

The Hill Country Podcast: Layng Guerriero on The Guadalupe River Center

Welcome to award-winning The Hill Country Podcast. The Texas Hill Country is one of the most beautiful places on earth.

In this podcast, Hill Country resident Tom Fox visits with the people and organizations that make this one of the most unique areas of Texas.

This week,  Tom talks with Layng Guerriero about his journey from Houston to Kerrville and his involvement in local community projects.

They delve into the development of the Guadalupe River Center, a visionary project aimed at creating a multi-use facility by Nimitz Lake.

The episode explores the origins, partnerships, and components of the project, including state-of-the-art river access facilities, vocational training, and environmental stewardship.

Guerrero also shares insights into the importance of Rotary Club and public-private partnerships in driving community improvements.

Key Highlights:

  • Moving to Kerrville: A Personal Journey
  • Rotary Club Experience
  • The Guadalupe River Center Project
  • Community Involvement and Public-Private Partnerships
  • River Center Features, Educational and Environmental Initiatives
  • Importance of the River Center for the future of Kerrville

Resources:

Guadalupe River Center

Other Hill Country-Focused Podcasts

Hill Country Authors Podcast

Hill Country Artists Podcast

Texas Hill Country Podcast Network

Categories
Daily Compliance News

Daily Compliance News: June 19, 2024 – The Far from Perfect 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:

  • Boeing culture is ‘far from perfect’ according to the CEO. (WSJ)
  • A Swiss regulator finds HSBC violated AML regulations. (FT)
  • A former Glencore employee is set to be charged by the SFO. (FT)
  • The UK’s richest family is on trial for human trafficking.  (BBC)

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