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Trekking Through Compliance

Trekking Through Compliance-Episode 64 – The Tholian Web

In this episode of Trekking Through Compliance, we consider the episode The Tholian Web which aired on November 15, 1968, Star Date 5693.4.
Compliance Takeaways:

  1. How do you manage talent in your function?
  2. What is smart risk in compliance?
  3. Do you have to be nice to lead in compliance?
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Daily Compliance News

Daily Compliance News: August 3, 2019, the let them eat cake edition

In today’s edition of Daily Compliance News:
Wells Fargo does not only abuse customers but vendors as well. (WSJ)
PwC fined in Mexico. (MarketWatch)
Right wing groups want CITGO to go down. (Houston Chronicle)
FCR fines KPMG $6.1MM? (WSJ)

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Daily Compliance News

August 31, 2019- the old white guys edition

In today’s edition of Daily Compliance News:
  • Most start-ups founded by 45 year old white males. (NYT)
  • Stellar information lands whistleblower award. (FCPA Blog)
  • Is the $12bn proposed by Perdue Pharma to settle enough? (WSJ)
  • SEC charges investment adviser to NFL players. (MarketWatch)
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This Week in FCPA

This Week in FCPA-Episode 165– the Greinke to the Astros edition

The Astros hit a home run on the last minute of the trading deadline by obtaining Zack Greinke and Jay asks just how insufferable Tom will be until the Astros win the World Series again (Hint: Very). While Tom gloats, he and Jay turn their collective eyes to some of this week’s top compliance and ethics stories.
  1. Third parties are still the highest FCPA risk. So why are you still using them? Alexandra Gillies explores.
  2. How to manage high-risk distributors? Mike Volkov with a 2 part series.
  3. What is conspicuous integrity in the corporate setting? Shirin Ahlhauser explains.
  4. What is cognitive governance? James Bone begins a 5-part series.
  5. What is present responsibility and how does it related to debarment? Jay explains.
  6. What are the disclosure and notification requirements when managing a crisis? Lawyers from Cleary Gottlieb explain.
  7. Wonder if ethics and compliance still matter? Four Wachtel Lippon lawyers explain.
  8. Why do you need social media compliance as part of your ethics and compliance program. John Horowitz tells us in Navex Global’s Ethics and Compliance Matter
  9. Why the identification of high risk employees is critical. Jeff Kaplan explains.
  10. Comings and goings in the DOJ Fraud Section. Dylan Tokar reports.
  11. Our colleague Doug Cornelis participates in the annual 2-day, 192 mile Pan-Mass Bike Challenge which raises money for the fight against cancer. I hope you will join my again in supporting Doug by donating to PMC. Information on Doug’s ride, why he rides and donation button are all found here.
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.
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Compliance Man Chooses the Target

Episode 6: Due Diligence in High Risk Markets

Welcome to Episode 6 of Compliance Man Chooses the Target with Tim Khasanov-Batirov. Our goal is to highlight matters that should be on agenda of practitioners that deploy compliance programs in industries or countries of active FCPA enforcement. In this episode, we will target three specific matters that you might like to address in the course of implementation of your compliance program. Today we will focus on Due Diligence in high risk markets.
Join me for the next episode of Compliance Man Chooses the Target with Tim Khasanov-Batirov. 
Learn more compliance tips from Tim Khasanov-Batirov at: http://complianceinpostussr.com/ & http://complianceinpostussr.com/blog/

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Daily Compliance News

Daily Compliance News: August 2, 2019, the Summertime Blues edition

In today’s edition of Daily Compliance News:
  • Another way in which the 737 MAX is impacting the economy. (WSJ)
  • Chinese billionaire indicted in tariff scam. (WSJ)
  • Trump want the Pentagon to use Oracle, the Pentagon does not. (Washington Post)
  • Did Google fire an engineer for being a Republican? (WSJ)
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Trekking Through Compliance

Trekking Through Compliance-Episode 62 – Day of the Dove

In this episode of Trekking Through Compliance, we consider the episode Day of the Dove which aired on November 1, 1968, Star Date unknown.
Compliance Takeaways:

  1. How to use disruption as an innovation.
  2. Integrating compliance into the business.
  3. Hitting the ground running as a new CCO.
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Daily Compliance News

Daily Compliance News: August 1, 2019, the no harm, no foul edition

In today’s edition of Daily Compliance News:
  • Martin Shkreli Loses His Appeal (NYT)
  • Surprise Surprise, Huawei making money. (WSJ)
  • Can Karinova pay her way out of prison? (Global Anticorruption Blog)
  • Are higher audit costs worth paying? (FT)
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12 O’Clock High-a podcast on business leadership

Episode 112-Leadership Lessons from Rutherford B. Hayes

This episode begins a short series on Gilded Age Presidents, now largely forgotten. In this episode we take up Rutherford B. Hayes.
 Some of the issues posed include:
Hayes Educational and Professional Background
The Disputed Election of 1876 and Compromise-(1)Election Commission; (2) Terms of the Compromise and (3) Was it necessary?
Hayes’ Presidency-(1) Reconstruction ends-was it inevitable? (2) Civil Service Reform; (3) Cabinet Selections; (4) Port of New York and (5) the Post Office.
Foreign Policy-(1) Paraguay War settlement; (2) Mexican border crisis and (3) Immigration issues.
Great RR Strike of 1877, the Great Western Tour, his Indian Policy and Lemonade Lucy
Hayes Leadership Issues-(1)“He serves his party best, who serves his country best.”; (2) Rutherford the Rover; (3) Use of veto and (4) Conflicts with Congress over Congressional v. Executive Power.
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Trekking Through Compliance

Trekking Through Compliance-Episode 61 – Spectre of the Gun

In this episode of Trekking Through Compliance, we consider the episode Spectre of the Gun which aired on October 25, 1968, Star Date 4585.3.
Compliance Takeaways:

  1. How can you overcome biases?
  2. Have you looked at your supply chain for compliance innovation?
  3. Moving compliance into the DNA of your organization.