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SBR - Authors' Podcast

SBR-Authors Podcast: Unconditional Values in Leadership and Compliance with Andy Crocker

Welcome to the SBR-Authors Podcast! In this podcast series, host Tom Fox visits with authors in the compliance arena and beyond. In this episode, host Tom Fox is joined by aerospace engineer Andy Crocker to discuss his extensive career in aerospace, which encompasses projects ranging from designing launch vehicles to missions focused on sending humans back to the moon.

Crocker examines the impact of these values on teamwork, the limitations of conditional leadership, and the importance of compliance as a natural outcome of a value-driven organization. The discussion also touches on Crocker’s transition phase, his thoughts on instilling these values in broader industry contexts beyond aerospace, and how they can be particularly pivotal for young professionals.

Key highlights:

  • Andy Crocker’s Professional Background
  • The Magic of Rocket Science
  • Transitioning from Tactical to Strategic
  • Values and Leadership in Aerospace
  • The Lunar Landing Competition
  • The Trap of Conditional Leadership
  • Character vs. Compliance
  • Compliance as a Superpower
  • Andy Crocker’s Writing Process

Resources:

Andy Crocker at PR by the Book

Andy Crocker Books on Facebook

Andy Crocker on LinkedIn

Andy Crocker Books Website

PR by the Book Website

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

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Daily Compliance News

Daily Compliance News: June 24, 2025, The Questions, Questions and More Questions 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, all relevant to the compliance professional.

Top compliance stories:

  • Is it safe for Americans to travel abroad? (NYT)
  • What happens when the boss works remotely? (FT)
  • Is bias built into hiring algorithms? (WSJ)
  • Are Canadian companies at risk due to the US’s lack of ABC enforcement? (Globe and Mail)
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Innovation in Compliance

Innovation in Compliance: LeadHERship with Linda Fisk

Innovation is present in many areas, and compliance professionals must not only be prepared for it but also actively embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. In this episode, host Tom Fox visits Linda Fisk, the leader of LeadHERship Global, to discuss the challenges and opportunities faced by female entrepreneurs.

Linda shares her extensive professional journey, from serving as a CMO at notable media companies to founding LeadHERship Global. They discuss the impressive yet under-recognized contributions of women entrepreneurs in the U.S. economy, highlighting stats and trends around new business ventures led by women, especially women of color. Linda emphasizes the ongoing difficulties women face in accessing capital and offers practical steps for success, including addressing stereotypes, learning from each other, and creating supportive networks. The conversation closes with insights on how LeadHERship Global helps women thrive professionally and how men can support this movement. Linda also mentions her recent anthology, “LeadHERship Unveiled,” which features inspiring stories from women leaders.

Key highlights:

  • Current Landscape for Female Entrepreneurs
  • Challenges in Funding for Women Entrepreneurs
  • Practical Steps for Women Entrepreneurs
  • The Vision Behind LeadHERship Global

Resources:

LeadHERship Website

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

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Red Flags Rising

Red Flags Rising: S01 E17 – Data-Driven Root-Cause Analysis with Erika Trujillo of SEIA

Mike & Brent welcome Erika Trujillo, Managing Director of SEIA (“say-a”), who, with her company, brings advanced data analytics solutions to solving trade compliance problems. Mike and Brent discuss Erika’s background and the services SEIA provides (00:14); how advanced data analytics can help with export controls risk assessments by, among other things, bringing to bear data from across multiple departments (which is particularly important under U.S. law’s collective knowledge doctrine and the “high probability” standard) (02:10); the importance of differentiating between your company’s “internal data” and the “external data” and of identifying and leveraging what internal data might be sitting within reach (05:03); the importance of contextualization, i.e., taking a holistic perspective at potentially interesting data points that only become informative in the context of other data points, for example data suggesting that EAR99 items that otherwise would not require an export license might be exported for prohibited end-uses or to prohibited end-users (06:53); the need for companies to have the courage to engage with their own data, especially since they are making statements to various governments in any case about their trade flows (09:21); how small- and medium-sized companies can start, step-by-step, to get a handle on their internal data (10:53); how to respond to reports or allegations (i.e., “red flags”) of potential export control violations (12:18); common data pitfalls to avoid (13:51); the importance of prioritization not just in terms of data cleanup projects (14:28); why praying to the accounting platform gods and hoping everything is OK is not sufficient (16:00); the full definition of knowledge (including an awareness of a high probability) and what opportunities that presents for risk-based approaches to trade compliance (16:35); how a data-driven approach to trade compliance can help improve relationships with colleagues in sales and operational functions (18:39); how to overcome the fear of what you might find by taking a deeper dive into your company’s data (19:28); and how a data-driven approach can help with c-suites and boards of directors (20:13). We conclude with a surprise twist in the ever-popular segment, Brent Carlson’s “Managing Up,” in exploring Erika’s mission and purpose in co-founding SEIA.

Resources:

More about SEIA

Contact or Book a Demo with SEIA

Contact Erika

Brent LinkedIn

Mike LinkedIn

Mike & Brent’s “Fresh Looks” Series

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Blog

Breaking Through the Digital Veil: Star Trek’s ‘A Taste of Armageddon’ and the Art of Compliance Investigation

Show Summary

Star Trek’s original series has long been a treasure trove of timeless lessons for leaders, ethicists, and compliance professionals. The episode “A Taste of Armageddon” offers a gripping narrative about two planets waging a computerized war, where casualties are “virtual” until real people are targeted for destruction by assassination teams. Beyond its science fiction thrills, this episode offers a rich canvas for compliance investigators to glean valuable insights into corporate investigations, risk management, and ethical decision-making.

In this blog post, we will consider five investigative lessons drawn from “A Taste of Armageddon” that every compliance professional can apply in today’s complex corporate environment.

Lesson 1: Don’t Accept the Surface Narrative—Dig Deeper

Illustrated By: Captain Kirk and the Enterprise crew arrive at the planet Eminiar VII and are briefed on a bizarre ongoing “war” with their neighboring planet, Vendikar. They’re told the conflict is conducted entirely through computer simulations, with casualties happening only because of computer-generated attack orders. The officials claim that this system prevents physical destruction and loss of infrastructure.

Compliance Lesson: In investigations, the official story is rarely the whole story. Compliance professionals must cultivate a mindset of healthy skepticism. Just as Kirk refused to accept the “virtual war” explanation at face value, investigators must dig beneath surface narratives. This involves gathering multiple sources of information, cross-checking the data, and probing for inconsistencies.

In practice, this requires robust evidence-gathering protocols, document reviews, interviews, digital forensics, and whistleblower input that go beyond the polished explanations offered by senior management or external parties. Accepting surface-level assurances can leave hidden risks and unethical practices undetected, leading to severe consequences down the line.

Lesson 2: Recognize When Systems Are Manipulated to Conceal Real Harm

Illustrated By: As Kirk digs deeper, he discovers that the “war” computer directs citizens of Eminiar VII to “self-destruct” (die) to simulate casualties, a brutal reality masked by the sanitized computer war facade. The computerized system is essentially a tool to hide the actual human cost of conflict under the guise of civility.

Compliance Lesson: Investigators must be vigilant in identifying situations where systems, reports, or data are manipulated to conceal wrongdoing or minimize apparent risk. In the corporate world, this can take the form of falsified compliance reports, selective data presentation, or over-reliance on automated controls that obscure unethical behavior.

Effective compliance investigations require not only technical acumen to uncover data manipulation but also ethical insight to understand why and how such manipulation occurs. A “computerized war” can be a metaphor for any process designed to obscure real damage; investigators must find ways to penetrate these obfuscations to reveal the truth.

Lesson 3: Challenge Institutionalized Norms When They Violate Ethics

Illustrated by: The people of Eminiar VII believe their system is rational and ethical because it avoids the destruction of infrastructure and reduces collateral damage. Yet, the human toll is real and horrific. Kirk challenges this “civilized” war system, calling out the moral bankruptcy of a process that sanctions systematic killing under bureaucratic rules.

Compliance Lesson: Investigators frequently confront institutionalized norms or entrenched practices that are accepted internally but violate ethical standards or laws. Just as Kirk refuses to tolerate a “war” that hides killing behind a computer screen, compliance professionals must question and challenge these normalized behaviors.

This lesson emphasizes the importance of independence and courage in investigative work. Investigators should be empowered to raise red flags about practices that may be “business as usual” internally but are fundamentally unethical or illegal. Compliance programs must support investigators in pushing back against such norms to protect the organization’s integrity.

Lesson 4: Collaborate Across Teams to Confront Complex Issues

Illustrated By: To expose the truth and disrupt the false war, Kirk and his crew collaborate with disillusioned Eminian officials and civilians. This cooperation allows them to understand the deeper reality and develop strategies to end the deceptive conflict.

Compliance Lesson: Modern compliance investigations are often complex and multifaceted, involving legal, financial, operational, and cultural dimensions. Successful investigations depend on collaboration across various departments, including legal counsel, internal audit, HR, IT, and external advisors.

This lesson emphasizes the importance of multidisciplinary teams sharing their expertise and perspectives. No single investigator can carry the burden alone. Collaboration fosters comprehensive fact-finding, more accurate risk assessments, and the development of effective remediation strategies. It also signals to the organization that compliance is a shared responsibility, enhancing the culture of integrity.

Lesson 5: Be Prepared to Disrupt Business as Usual for the Sake of Ethics

Illustrated By: Kirk’s ultimate act is to disable Eminiar VII’s computer war system, forcing the planet’s leaders to face the harsh realities of war without the illusion of sanitized casualty reports. This disrupts their entire way of life, but it is necessary to restore genuine peace and ethical accountability.

Compliance Lesson: Sometimes investigations reveal practices so flawed or unethical that business-as-usual cannot continue. Compliance leaders must be prepared to recommend and implement significant changes, even if they are disruptive, to address systemic issues.

This lesson emphasizes the investigator’s role in not only uncovering wrongdoing but also advocating for meaningful reform. Compliance professionals should prepare to challenge leadership and stakeholders with uncomfortable truths and advocate for corrective actions that may necessitate changes to established processes. Ethical integrity and long-term sustainability must outweigh short-term convenience or complacency.

Final ComplianceLog Reflections

Star Trek’s “A Taste of Armageddon” is a compelling allegory about the dangers of complacency, obfuscation, and ethical compromise. For corporate compliance professionals, the episode provides a blueprint for rigorous, courageous, and collaborative investigations that delve beyond polished narratives to uncover uncomfortable truths.

When compliance investigators channel Captain Kirk’s relentless curiosity, moral courage, and collaborative spirit, organizations can better navigate today’s complex ethical challenges. They can ensure transparency, accountability, and integrity prevail even when it means disrupting entrenched systems or exposing inconvenient realities.

In a business universe full of hidden risks and “virtual wars,” compliance investigations serve as a beacon guiding companies toward ethical and sustainable success. Like the crew of the Enterprise, compliance professionals must be prepared to boldly go where few dare to look and make a tangible difference in their organizations.

Resources:

Excruciatingly Detailed Plot Summary by Eric W. Weisstein

MissionLogPodcast.com

Memory Alpha

Categories
Corruption, Crime and Compliance

DOJ Resumes FCPA Enforcement

Has the pendulum swung back on FCPA enforcement – and will companies be ready when it hits? Is the DOJ’s renewed push on FCPA enforcement a strategic shift – or just old wine in a new bottle?

In this episode, Michael discusses the return of the Justice Department to the FCPA enforcement arena. In a significant development, DOJ announced the resumption of FCPA enforcement, accompanied by a new set of enforcement guidance principles. This guidance is more than policy – it’s a statement of priorities and strategy that will shape how FCPA investigations and prosecutions unfold. While the number of attorneys in DOJ’s FCPA Unit has declined, U.S. Attorneys’ Offices across 94 districts now have increased authority to investigate and prosecute FCPA cases with less oversight. The result? Potentially broader, faster, and more decentralized enforcement. As always, the devil is in the details – and the June 9 DOJ FCPA Guidance Memo delivers plenty.

You’ll hear him discuss:

  • DOJ’s renewed emphasis on prosecuting individuals over corporations, especially when misconduct can’t be directly linked to senior leadership
  • How companies may now have stronger arguments to avoid liability if the wrongdoing is isolated to a small group
  • Expanded autonomy for U.S. Attorneys’ Offices and what this means for enforcement volume and consistency
  • The DOJ’s prioritization of cases that directly impact U.S. national interests and corporate competitiveness
  • Increased scrutiny of links to cartels and transnational criminal organizations, including risks hidden in supply chains and third-party relationships
  • The push for faster, more efficient investigations to avoid the years-long white-collar case backlog
  • Guidance on when facilitating payments, gifts, or travel fall under FCPA exceptions – and why these rarely matter in major prosecutions
  • Why cooperation, early disclosure, and individual accountability may now be companies’ best bet for avoiding charges altogether
  • The DOJ’s sharpened focus on national security sectors like defense, critical infrastructure, and technology

Resources

Michael Volkov on LinkedIn | Twitter

The Volkov Law Group

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FCPA Compliance Report

FCPA Compliance Report – Fraud Risk Management: Insights and Experiences with Peter Schablik

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. Today, Tom Fox welcomes Peter Schablik, a seasoned professional in risk consulting and fraud detection. Peter shares his extensive background, including his transitions from consulting to audit and his experiences across various industries. The discussion explores the significance of fraud detection, critical thinking, and strategic fraud mitigation. Key topics include the role of management in fraud prevention, common misconceptions about fraud controls, technological and management overrides, and industry-specific fraud patterns. Peter also emphasizes the importance of basic controls, such as the segregation of duties, the need for a clear tone at the top, the effective use of hotlines, and thorough third-party risk assessments. Peter emphasizes the value of instinctual and behavioral analysis in fraud investigations, providing actionable advice for strengthening an organization’s fraud prevention program.

Key highlights:

  • The Importance of Fraud Detection and Mitigation
  • Common Misconceptions About Fraud
  • Patterns of Fraud Across Industries
  • Segregation of Duties and Basic Controls
  • Investigative Strategies and Behavioral Cues
  • Strengthening Fraud Prevention Programs

Resources:

Peter Schablik on LinkedIn

Want to Catch a Fraudster? Think Like a Cop

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

For more information on the use of AI in Compliance programs, see my new book, Upping Your Game. You can purchase a copy of the book on Amazon.com

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#RiskNYC Speaker Series

#Risk New York Speaker Series – Bridging the Gap: Effective Risk Communication in Compliance with Rob Clark, Jr.

Join Tom Fox and hundreds of other GRC professionals in the city that never sleeps, New York City, on July 9 & 10 for one of the top conferences around, #Risk New York. The current US landscape, shaped by evolving policies, rapid advancements in AI, and shifting global dynamics, demands adaptive strategies and cross-functional collaboration.

At #RISK New York, you will master the New Regulatory Reality by getting ahead of US regulatory shifts and their impact. Conquer AI and Tech Risk by Safeguarding Your Organization in an AI-Driven World and Understanding the Implications of Major Tech Investments. Navigate Financial and Crypto Volatility by Protecting Your Assets and Exploring Solutions in a Dynamic Market. Strengthen Your GRC Framework by Leveraging Governance, Risk, and Compliance for Strategic Advantage. Protect Digital Trust by addressing challenges in cybersecurity and data privacy, and combating misinformation. All while meeting with the country’s top #Risk management professionals.

Rob and Kyle Martin from NAVEX Global will discuss the importance of effective communication in risk management for compliance professionals. They will emphasize the need to translate complex IT language into terms that senior leadership can comprehend, focusing on financial and reputational risks. This approach facilitates better understanding and prompt action. They also emphasize the importance of education in achieving these communication objectives. The conversation looks forward to an upcoming conference session on this topic.

Resources:

#Risk Conference Series

#RiskNYC—Tickets and Information

Rob Clark, Jr., on LinkedIn

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Compliance Tip of the Day

Compliance Tip of the Day – COSO Objective 1 – Control Environment

Welcome to “Compliance Tip of the Day,” the podcast that brings 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 goal is to provide you with bite-sized, actionable tips to help you stay ahead in your compliance efforts. 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 begin a look at the 5 COSO Objectives—first up, Number I—Control Environment.

For more information on this topic, refer to The Compliance Handbook: A Guide to Operationalizing Your Compliance Program, 6th edition, recently released by LexisNexis. It is available here.

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Trekking Through Compliance

Trekking Through Compliance – Episode 22 – Ethical Lessons from Space Seed

In the legendary Star Trek episode “Space Seed,” Captain Kirk and the crew of the USS Enterprise encounter a drifting vessel, the SS Botany Bay, which houses cryogenically frozen survivors from Earth’s Eugenics Wars. Among these survivors is Khan Noonien Singh, a charismatic and genetically superior figure with ambitious plans to dominate those around him. “Space Seed” is not merely compelling science fiction but also an illuminating parable about ethics, leadership, and compliance within organizations. Let’s examine four key ethical lessons from this iconic episode and explore how they apply to the context of corporate compliance.

Lesson 1: Beware Charisma Without Ethics

Illustrated By: Khan awakens from centuries of cryogenic sleep. Charismatic, brilliant, and imposing, he quickly gains the trust and admiration of historian Lieutenant Marla McGivers. However, Khan’s charm conceals his ruthless ambition, ultimately leading McGivers to compromise her principles.

Compliance Lesson: Compliance officers must instill a culture that evaluates leaders and decision-makers on their ethical conduct and actions rather than superficial charisma or immediate performance.

Lesson 2: Transparency and Trust Are Pillars of Integrity

Illustrated by Khan, upon awakening, he refuses to disclose his past or intentions fully. This lack of transparency breeds mistrust among Kirk’s crew despite Khan’s superficially appealing characteristics. The withholding of critical information ultimately undermines his position, signaling to the crew the presence of hidden motives.

Compliance Lesson: Transparency and trust are foundational to a robust compliance culture.

Lesson 3: Ethical Leadership Requires Courageous Accountability

Illustrated By: Captain Kirk ultimately confronts Khan directly, taking decisive and courageous action to protect the crew and uphold the integrity of the Enterprise. Kirk’s willingness to confront difficult situations head-on demonstrates courageous leadership grounded in strong ethical principles.

Compliance Lesson: Ethical leadership entails proactive accountability, particularly when confronting challenging or uncomfortable issues.

Lesson 4: History Teaches Valuable Compliance Lessons

Illustrated By: Lieutenant McGivers is initially enamored with Khan due to her fascination with historical figures of power and dominance. However, her romanticized view of history blinds her to the true nature and consequences of Khan’s leadership style, resulting in serious ethical lapses.

Compliance Lesson: Organizations must actively engage with past compliance failures, both internal and external, to glean critical insights that prevent the repetition of ethical breaches.

Final ComplianceLog Reflections

“Space Seed” vividly illustrates how charisma divorced from ethics, opacity over transparency, leadership without courageous accountability, and ignorance of historical lessons can lead to organizational harm. For compliance professionals, these lessons serve as potent reminders of the importance of ethical vigilance and proactive leadership in safeguarding corporate integrity.

In an ever-evolving corporate landscape fraught with risks and opportunities, maintaining ethical standards is not merely advisable—it is imperative. Let us boldly apply these Star Trek-inspired ethical lessons, ensuring our organizations prosper not just through profit but through principled and trustworthy conduct. Remember, as Captain Kirk demonstrated, ethical vigilance is not just logical; it is essential for sustainable success.

Resources:

Excruciatingly Detailed Plot Summary by Eric W. Weisstein

MissionLogPodcast.com

Memory Alpha