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Classroom Insiders

Introducing the Classroom Insiders Podcast


Join Karen Woody and her Insider Trading Seminar students from Washington and Lee University as they explore the arc and evolution of insider trading over the last century. Each episode will feature a discussion between Karen Woody and a student about insider trading and regulation. Find out what the future lawyers of the university think about past and current legislation, and learn more about this fascinating area of law.
Listen to the episode now:

If you know someone who might be interested in what the lawyers of tomorrow think about the litigation of yesterday, share this page with them!

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Compliance Kitchen

DOJ Convict for Export of Rebreathers


The DOJ obtains a conviction for export of rebreathers without a BIS license.  The Kitchen reviews the press release and brings you the summary.

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The Hill Country

Darrell Beauchamp on the Museum of Western Art, Part 1

Welcome to The Hill Country Podcast. The Texas Hill Country is one of the most beautiful places on earth. In this podcast, recent Hill Country resident Tom Fox visits with the people and organizations that make this the most unique areas of Texas. Join Tom as he explores the people, places and their activities of the Texas Hill Country. In this Part 1 of a two-part podcast, I visit with Darrell Beauchamp, the Director of the Museum of Western Art, located in Kerrville Texas. Some of the highlights include:

  1. What career path led Beauchamp to become a museum director?
  2. What is the Museum of Western Art?
  3. What are the Cowboy Artists of America and what role do they play in the Museum of Western Art?
  4. What is the primary mission of the Museum of Western Art?
  5. What makes the Museum of Western Art so special?
  6. What are the Museum of Western Art’s permanent exhibits? Current special exhibits?
  7. What are some of the upcoming exhibits?

For more information on the Museum of Western Art, check out their website, here.

Categories
Design Thinking in Compliance

Running a Design Spring


Welcome to the latest edition to the Compliance Podcast Network. In this podcast, I am joined by my co-host Carsten Tams, Ethical Business Architect and founder and CEO of Emagence LLC, a boutique consulting firm based in New York City, partners with corporate, academic and NGO clients to develop innovative and evidence-based strategies rooted in behavioral science for solving organizational challenges. Over this podcast series we will explore how Design Thinking can be used to improve your compliance program by increasing employee engagement. In this episode, Carsten and I take up running a design sprint.
Some of the highlights include:
1. What is a design sprint?
2. What are the processes and methods?
3. What is Olivia’s story?
4. Defining the Design Problem.
5. Brainstorming Ideas-what does this entail?
6. Selecting the most promising ideas.
7. Prototyping Solutions.
8. Testing
9. What does Olivia’s story tell us?
Carsten Tams on LinkedIn
 Carsten Tams – Ready, Set, Go: Running A Design Sprint

Categories
Career Can D0

Internships and How They Help You with Natalia Johnson


 
In this episode of Career Can Do, Mary Ann Faremouth chats with Natalia Johnson, HR Compliance Specialist and HR Assistant at G&A Partners. Natalia is a former employee of Faremouth & Company, where she was an Administrative Assistant. 
 

 
Natalia strongly encourages high-schoolers and college students to get involved in as many extracurriculars, clubs, and organizations as they can. Her experience as part of the organization for her major not only helped her in her job, but also provided a support system and networking skills, which are both incredibly useful. She talks about how she changed her career course and advises listeners on how to do the same.
 
Sometimes people are so afraid of looking like they don’t know something that they just go ahead and do things without asking questions, and the repercussions of their mistakes are often worse than the temporary shame they might have felt if they had just asked for help, Mary Ann comments. She asks Natalia about the growth of her company, and if it can be attributed to people seeing the benefits of using an outsourcing firm.
 
Resources
Faremouth.com
Natalia Johnson on LinkedIn
 
 

Categories
Greetings and Felicitations Understanding Lyme Disease

Understanding Lyme Disease – Episode 3: Treatment and Innovation


 
Tom Fox welcomes back Scott Endicott and Ben Locwin to part 3 of the Understanding Lyme Disease Podcast Series. In this episode, they look at treatment solutions for Lyme disease.
 

 
The Current Lyme Treatment
The current treatment for Lyme disease is more focused on adults. It’s a non innovative approach, however, as Ben points out. The current standard treatment is a 100 milligram dosage of Doxycycline twice per day for 10 to 12 days. Patients will typically get three weeks worth of prescription. For children, they are prescribed Amoxicillin as they can’t tolerate Doxycycline. This dosage would be 50 milligrams, three times a day. The current treatment protocols are inadequate for the population who have Lyme disease symptoms, Ben tells Tom. Both the infectious disease community and the academic research and physician community are holding fast to their own views on how Lyme disease is to be treated and what works and what doesn’t. This poses a challenge, Scott remarks. 
 
The Need For Innovation
“The Health and Human Services (HHS) just put together a working group that is actually looking at emergent innovative approaches, and some of those innovative approaches are ones that the Lyme specialists have been using for many years, like PICC lyme antibiotics, essentially intravenous antibiotics in order to arrest very accelerated symptoms and symptoms that have taken patients to a place where there needs to be massive changes to their health or things are going to continue… to just get worse,” he adds. This kind of innovation needs to be more normalized, and clinical experts need to remove themselves from their old school way of thinking. When new data is coming in from patient case reports, experts should be able to build new hypotheses, Scott and Ben argue. They shouldn’t have such an emotional conviction to past beliefs that they can’t be moved by new data. Innovating patient care and treatment is to understand exactly what is clear within the data, and for what isn’t clear, to make adjustments.
 
The Next Step
Research and medication needs to adapt. What was believed to be effective in the past is no longer so in the present. “Frankly in clinical medicine, the endpoints to show that something is efficacious are either to demonstrate improvements and how a patient feels or functions or survives,” Scott says. Measuring survivability is important but if patients are presenting that they don’t feel well, or aren’t functioning the same, and medical experts turn a blind eye to that, then there will be no innovation in terms of truly tackling the disease. The next step for treatment would be diagnostic testing that gets much closer, and that which puts data back into the hands of clinicians, so they can advise patients properly and with better protocols.
 
Resources
Scott Endicott | LinkedIn
Ben Locwin | LinkedIn | Twitter
 
 

Categories
Compliance Into the Weeds

A Single Source of Truth


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. Today, Matt and Tom take a the recently filed lawsuit by Shaquala Williams against JPMorgan for alleged retaliation for her internal whistleblowing. Williams was in a compliance function at the bank and claimed she was terminated for raising the issues that JPMorgan was not living up to its reporting requirements under a DPA.Some of the issues we consider are:

  • Facts of the claim?
  • Made in the context of an ongoing DPA.
  • The lack of lack of documented policies and procedures.
  • Siloed nature of compliance functions.
  • Inconsistency in risk assessments.
  • Why is a single source of truth so critical?

Resources
Matt in Radical Compliance, That Lawsuit Against JP Morgan

Categories
Daily Compliance News

November 17, 2021 the He Knew All Along edition


In today’s edition of Daily Compliance News:

Categories
Compliance Kitchen

FinCEN Update


FinCEN issued an updated “Advisory on Ransomware and the Use of the Financial System to Facilitate Ransom Payments”.  Tune in for more details as the Kitchen reviews this latest resource.

Categories
The Compliance Life

Wendy Badger-Into the CCO Chair

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Wendy Badger, CCO at Tennant Company.

Wendy was recruited for head of compliance role at a non-profit financial services organization. She emphasized the collaborative nature of the role and some of the key lessons she learned. She discussed some of the challenges and successes she had in the role and her eventual decision to step away from the position.

Resources

 Wendy Badger LinkedIn Profile