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Because That's What Heroes Do

Deep Space 9: Ezri Dax, Part 1 – Mental Health and Symbolism in ‘Shadows and Symbols’

Get ready for an exciting new season of Because That’s What Heroes Do. This season, they take a deep dive into their favorite episodes of Deep Space 9. In this exploration, Tom and Megan are joined by Star Trek maven Alex Murphy (Murphy) from Montreal, a local historian,  cinema, and TV fan who loves 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. In this episode, the team begins a 3 part exploration of the introduction to a new character for DS9’s final season. Today, they review the episode Shadows and Symbols.

The episode begins with Ezri Dax, a character Tom loves, and her struggle with multiple voices in her head. This leads to a broader conversation about the themes of mental health and symbolism tied to the character Benny Russell and his writings on the padded walls of his cell. Another important storyline explored is the Klingon tradition of ensuring Jadzia Dax’s entry to Stov-Vo-Kor, led by Worf, with help from Quark, O’Brien, and Bashir. The final segment examines Captain Sisko’s mysterious trip to his father’s restaurant in New Orleans and his continuing visions connected to his baseball. Murphy ponders whether this episode functions best as a standalone or part of a three-story arc, ultimately appreciating its deep connections to the overall series.

Key highlights:

  • Exploring Ezri Dax’s Character
  • Symbols and Shadows: Three Storylines: Benny Russell’s Breakdown; Jadzia Dax to Sto-Vo-Kor and Sisko’s Journey to the Prophets
  • Romulans on DS9 and Bajoran Politics
  • Standalone Episode or Trilogy?

Resources:

Megan Dougherty

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One Stone Creative

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Tom

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10 For 10

10 For 10: Top Compliance Stories For the Week Ending February 8, 2025

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 you the compliance professional and the compliance stories you need to know to end your busy week. Sit back, and in 10 minutes, hear the stories every compliance professional should know from the prior week. Every Saturday, 10 For 10 highlights the most important news, insights, and analysis for the compliance professional, 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.

  • Fay Vincent warned MLB of the corruption from gambling. (NYT)
  • Do we need eyes on compliance gatekeepers? (The Regulatory Review)
  • MLB fires ump for shared betting accounts. (ESPN)
  • WVU replaces DEI with “Dept. of Engagement and Compliance”. (12WBOY)
  • Will Trump DOJ drop corruption charges against NYC Mayor? (Reuters)
  • Shien IPO runs into Uyghur issues. (Reuters)
  • Top SEC crypto lawyer reassigned to IT. (WSJ)
  • Pam Bondi confirmed as new AG. (Bloomberg)
  • Bondi cuts back on FCPA enforcement. (Radical Compliance)
  • Is the Rooney Rule still legal? (Bloomberg)

For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here.

You can check out the Daily Compliance News, which features four curated compliance and ethics stories each day here.

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Regulatory Ramblings

Regulatory Ramblings: Episode 62 – The Green Belt and Road Initiative/Open-Source Intelligence & Non-English Language Online Research with Dr. Oriol Caudevilla and Skip Schiphorst

In the first part of this episode in our Regulatory Ramblings Spotlight section, we’ll speak with legal scholar Dr. Oriol Caudevilla on the green aspects of China’s Belt and Road Initiative, or BRI, as it is more colloquially known. We’ll follow that up with a chat with Skip Schiphorst, a former Dutch Marine, Iraq War veteran, and master linguist, about his penchant for languages and doing online, open-source research in languages other than English—especially Russian, Arabic, and Mandarin Chinese—and how English isn’t necessarily the easiest language to search in.

Dr. Oriol Caudevilla is a highly regarded voice on all things fintech. He is an Honorary Fellow at HKU’s Asian Institute of International Financial Law (AIIFL) and a Board Director and Secretary General at the Global Impact FinTech Forum (GIFT).

Oriol has published articles and has been cited by international media outlets such as Reuters, Forbes Middle East, the SCMP, Outlook India, China Daily, Asian Investor, Forkast News, and Cointelegraph. He has also hosted The Digital Tomorrow podcast for the past three years.

He shares his views on the potential environmental benefits of Beijing’s BRI with Regulatory Ramblings host Ajay Shamdasani.

Much has been said about the BRI, known in China as the One Belt, One Road—and sometimes labeled the New Silk Road. A global infrastructure development strategy adopted by the Chinese government in 2013 to invest in more than 150 countries and international organizations, the scheme is composed of six urban development land corridors linked by road, rail, energy, and digital infrastructure and the Maritime Silk Road connected by the development of ports.

The idea was simple: transport raw materials to China while carrying its manufactured wares to participating nations.

Oriol fleshes out what he means by the “Green BRI” because, on the surface, the concept seems counterintuitive, as vast amounts of carbon/energy are expended to carry resources toward China and goods from it. As he points out, there are green efficiencies and other benefits to be had from the BRI that will meaningfully impact the planet’s climate.

Skip Schiphorst is the course coordinator and instructor for the Swiss-based firm I-Intelligence’s Arabic, Russian, and Chinese open-source intelligence (OSINT) courses. He served 17 years in the Dutch Marine Corps, the elite corps of the Royal Netherlands Navy, one of the four Armed Forces of the Kingdom of the Netherlands.

While serving, he was deployed to several regions, including the Second Iraq War, as a Reconnaissance Marine. Having operated in multiple theaters, his language and cultural skills were extensively used. Skip holds a university degree in Chinese Studies and is keenly interested in incorporating languages within the OSINT/online spectrum.

He shares with Ajay the importance of being able to search for OSINT in languages other than English and how it has a direct application to lawyers, compliance officers, and investigators in regional hubs like Hong Kong and Singapore—and the banking and financial institutions and multinational corporations they serve. As he emphasizes, it is often easier to navigate the internet in Chinese than in English due to the simplicity of the structure of the former language.

Skip describes what it was like to grow up in Switzerland as a young man of Dutch ancestry, his decision to join the Marines in 1997, and how his views on the world and the degree to which outside powers can use military force to change cultures and nations changed over the course of his service. He believes this to be the Asian century, as many Western nations pursue more nativist and isolationist policies.

He also discusses the value of OSINT and multilingual research for due diligence in mergers and acquisitions and know-your-customer searches in anti-money laundering, terrorist financing, and sanctions compliance for banks.

Regulatory Ramblings podcasts is brought to you by The University of Hong Kong – Reg/Tech Lab, HKU-SCF Fintech Academy, Asia Global Institute, and HKU-edX Professional Certificate in Fintech, with support from the HKU Faculty of Law.

Useful links in this episode:

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2 Gurus Talk Compliance

2 Gurus Talk Compliance – The Snow in Florida Edition

What happens when two top compliance commentators get together? They talk compliance, of course. Join Tom Fox and Kristy Grant-Hart in 2 Gurus Talk Compliance as they discuss the latest compliance issues in this week’s episode!

Stories This Week Include:

  • DEI-reframing, not retreating.  (FT) and WVA replaces DEI with “Dept. of Engagement and Compliance”.  (12WBOY)
  • Trafigura and ex-COO were convicted of bribery.  (Bloomberg)
  • How Binance is ensuring compliance. (CoinPedia)
  • The CCO Departure Bonus.  (Cosmos)
  • Serbians are done with corruption.  (The Guardian)
  • Wells Fargo banks on (Not) risky business. (PYMNTS)
  • Crackdown on Tariff Exemption Snares U.S. E-Commerce Retailers (WSJ)
  • An investing revolution is coming. The U.S. isn’t ready for it. (The Washington Post)
  • The Sanctions Year in Review: DOJ Takes First Steps to Enforce “The New FCPA” While OFAC’s Enforcement Actions Decline (Volkov)
  • Fewer Americans Are Quitting Their Jobs (WSJ)
  • 1 arrested after snowballs thrown at Florida police officers, officials say (Fox 35 Orlando)

Resources:

Kristy Grant-Hart on LinkedIn

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Compliance Tip of the Day

Compliance Tip of the Day – AI, Process Management and 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, we aim to provide 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.

Today, we review aligning technology, data, and governance to enhance compliance frameworks and drive value across organizations.

For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here.

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Word of the Week

Word of the Week with Kenneth O’Neal – Wisdom

Each week, Kenneth O’Neal discusses a word that describes a principle or value of the Qualities of Success. We suggest you use the Word of the Week in your thoughts, deeds, and actions. You might possess the quality and desire to develop it to a higher level. You could replace a bad habit with a good habit. Write an action step and use it daily to develop the quality of your life.

In this episode, host Kenneth O’Neal discusses the word “wisdom” and the importance of wisdom in leadership, highlighting how true wisdom is the ability to discern what is right and true and to apply knowledge with sound judgment. Kenneth delves into the concept of wisdom not just as a collection of knowledge but as an integration of knowledge, experience, and ethical values. The discussion includes related terms such as understanding, common sense, gumption, and judgment and how these qualities form a robust framework for making sound decisions. The episode also touches on historical figures like Solomon and Benjamin Franklin, showcasing them as paragons of wisdom and understanding.

Key highlights:

  • Exploring the Concept of Wisdom
  • Wisdom and Understanding: A Deeper Dive
  • Applying Wisdom in Daily Life

Resources:

KRONEAL Consulting

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Daily Compliance News

Daily Compliance News: February 7, 2025, The Transactional, Not Material, World 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 in 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.

Top stories include:

  • New AG signals FCPA retreat. (Radical Compliance)
  • With apologies to Madonna, it’s a transactional world. (FT)
  • Shein, forced labor, and the EU DSA. (TechCrunch)
  • Is the Rooney Rule still legal? (Bloomberg)

For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here.

Check out The FCPA Survival Guide on Amazon.com.

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Blog

The Compliance Sabbatical

The world of corporate compliance is demanding. It requires constant vigilance, deep ethical reasoning, and navigating ever-evolving regulatory landscapes. Compliance professionals are often the last defense against misconduct, ensuring companies adhere to laws and ethical standards. But with great responsibility comes great stress, and burnout is an all-too-common reality in our field. I was intrigued when I came across a recent article in the Havard Business Review by DJ DiDonna, entitled The Case for Sabbaticals — and How to Take a Successful One.

A sabbatical, defined by DiDonna as an intentionally extended leave from your job-related work, may seem out of reach for many workers. But if you can swing it, the potential payoff is enormous. Taking one could be transformational for your life and career. Research and interviews with more than 250 sabbatical-takers reveal the key attributes that define these breaks, the three distinct sabbatical types, and the hurdles one must overcome to persuade bosses, colleagues, and yourself that it is a good idea. DiDonna makes a compelling argument that stepping away from work for a meaningful period is not simply beneficial; it can be transformative. A sabbatical can be essential for maintaining long-term effectiveness and well-being for compliance professionals who operate under high-pressure conditions.

The Compliance Burnout

Compliance officers work in an environment of constant scrutiny. The stakes are high, and the margin for error is razor-thin. Between managing regulatory risks, conducting investigations, and ensuring ethical corporate behavior, the stress can take a cumulative toll. Research shows that burnout leads to reduced effectiveness, poor decision-making, and even ethical lapses, precisely what compliance professionals are hired to prevent. A sabbatical offers a structured way to step back before burnout reaches critical levels. It allows professionals to reset mentally and physically, returning to work with renewed energy and sharper focus.

Benefits of a Sabbatical

1. Reconnecting with Purpose

One of the most significant benefits of a sabbatical is reassessing professional and personal priorities. Many compliance professionals enter the field driven by a strong ethical compass and a desire to make a difference. However, the daily grind, dealing with corporate bureaucracy, managing regulatory challenges, and sometimes confronting internal resistance can wear down that initial sense of purpose.

A sabbatical provides space to reflect on career goals and reconnect with the motivations that drew one to compliance in the first place. DiDonna’s research highlights that many sabbatical-takers return with a clearer sense of direction, often making strategic career shifts or doubling down on their professional mission.

2. Enhancing Strategic Thinking

Regulatory compliance is a dynamic field. Laws change, enforcement priorities shift, and new risks emerge. Staying ahead requires strategic thinking and adaptability. Yet, when professionals are caught up in the day-to-day pressures of compliance, it can be not easy to see the bigger picture.

A sabbatical can foster deep thinking and learning that compliance professionals rarely have time for. Whether through travel, study, or personal projects, time away from routine responsibilities can lead to fresh insights that improve compliance strategy and risk management upon return.

3. Cultivating Resilience and Creativity

Innovation isn’t a word often associated with compliance, but the best compliance programs thrive on creative problem solving. How do you foster a speak-up culture? How do you implement effective training that resonates with employees? How do you navigate gray areas where the law is ambiguous?

Time away from work stimulates creativity, especially when spent in new environments or pursuing new experiences. Compliance officers who take sabbaticals often return with novel approaches to training, policy implementation, and risk assessment.

Practical Steps to Make a Sabbatical Work

Despite the benefits, many compliance professionals hesitate to take a sabbatical. They worry about job security, financial implications, and how their absence might impact their organization. However, with careful planning, a sabbatical is more feasible than most professionals realize.

  1. Plan Ahead: A sabbatical does not have to mean quitting your job. Many organizations offer formal sabbatical programs, even those that do not may accommodate unpaid leave for valued employees. The key is to plan early and present a business case for how your time away will ultimately benefit the organization.
  2. Set Clear Boundaries: A true sabbatical means fully disconnecting from work. That means no checking emails or staying involved in projects remotely. The point is to create distance, both physically and mentally.
  3. Structure Your Time: A sabbatical should be intentional, whether traveling, volunteering, studying, or simply spending time with family. The goal is not simply to take time off but to recharge through engaging in experiences that provide renewal and perspective.

A Strategic Investment in Longevity

Corporate compliance isn’t a sprint; it’s a marathon. To be effective over the long haul, professionals need to pace themselves. Taking a sabbatical is not a luxury; instead, it is an investment in the longevity of individuals and the organizations they serve. Companies benefit when their compliance teams are engaged, refreshed, and thinking strategically.

If compliance professionals want to avoid burnout, enhance their strategic thinking, and return to work with renewed purpose, they should seriously consider taking a sabbatical. The research is clear: stepping away can make all the difference, even temporarily.

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Compliance Tip of the Day

Compliance Tip of the Day – AI and Compliance Training

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, we aim to provide 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.

Today, we review how AI can turbo-charge your compliance training and communication.

For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here.

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Daily Compliance News

Daily Compliance News: February 6, 2025, The Reassigned to IT 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 in 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.

Top stories include:

  • When employees smuggle AI into the workplace. (BBC)
  • Shein IPO runs into Uyghur issues. (Reuters)
  • Top SEC crypto lawyer reassigned to IT. (WSJ)
  • Pam Bondi confirmed as new AG. (Bloomberg)

For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here.

Check out The FCPA Survival Guide on Amazon.com.