In this episode of Trekking Through Compliance, we consider the episode Spock’s Brain which aired on September 20, 1968, Star Date 5431.4. This is the first episode of Season 3.
Compliance Takeaways:
While Facebook announces a settlement with the FTC and Microsoft settles an outstanding FCPA enforcement action, Tom and Jay return to discuss both events and some of this week’s top compliance and ethics stories which caught their collective eyes.
In today’s edition of Daily Compliance News:
In this episode of Trekking Through Compliance, we consider the episode Assignment Earth which aired on March 29, 1968, Star Date unknown. The final episode of Season 2.
Compliance Takeaways:
Welcome to the only roundtable podcast in compliance. Today, we have the full quintet of Mike Volkov, Jay Rosen, Matt Kelly, Jonathan Armstrong and Sarah Hadden. Rants and shouts outs follow the commentary for this episode.
The members of the Everything Compliance are:
The host and producer (and sometime panelist) of Everything Compliance is Tom Fox the Compliance Evangelist. Everything Compliance is a part of the Compliance Podcast Network.
In today’s edition of Daily Compliance News:
For a long time, compliance was perceived as a part of the larger legal world. Today, compliance is its own profession — a place where people work tirelessly to make the world a better place, one where doing the right thing is the standard for everyone. There are a lot of amazing and inspirational women who have helped the compliance field develop into what it is today and women who are joining this field every day. They are leading the work on cutting-edge issues and breaking barriers for women. Join Mary Shirley and Lisa Fine as they talk with women in compliance who are making a difference. In today’s episode Mary visits with Amy Mertz Brown, Chief Compliance Officer of the SEC. They discussed her role and how it feels to have the responsibility of the head of the Compliance function for one of the most significant Compliance regulators in the world, her tips for success in technology implementations and her takeaways from spearheading the creation of a compliance function in a start-up federal agency. With her extensive managerial experience in legal and compliance departments, Amy also shared various approaches for addressing difficult stakeholders inside an inherited staff and how she prizes diversity as an important goal when building out her teams.
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. In this episode, Matt Kelly (the coolest guy in compliance) and I go into the weeds to explore recent SEC enforcement actions which Matt characterized as an “internal control Palooza”. We explore what went askance, how to learn from it and how to prevent it going forward.
Some of the highlights include:
For further reading on Conn’s see Matt’s blog posts:
Conn’s Lessons on Management Estimatesand
More on Embedding, Automating Controls
For further reading on Microsoft see Matt’s blog post:
FCPA Issues Nick Microsoft $25 Million
Finally see Tom’s blog posts
Part 1-Microsoft FCPA Enforcement Actionand
Part 2-the Bribery Schemes
In today’s edition of Daily Compliance News:
In this episode of Trekking Through Compliance, we consider the episode The Ultimate Computer which aired on March 8, 1968, Star Date 4729.4.
Compliance Takeaways:
