Categories
Compliance Tip of the Day

Compliance Tip of the Day – Winnie the Pooh and Compliance Week-Eeyore and the Role of Corporate Legal

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, our aim is to provide you with 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.

We continue our week of fun in compliance by looking at how Winnie the Pooh and his friends inform your compliance program. Today we review how Eeyore can show the CCO how corporate legal and compliance can work together.

For more on this topic, check out The Compliance Handbook, a Guide to Operationalizing your Compliance Program, 6th edition which was recently released by LexisNexis. It is available here.

Categories
Great Women in Compliance

Great Women in Compliance – Insights from ACI FCPA and Global Anti-Corruption Conference

In this episode of Great Women in Compliance, co-hosts Lisa Fine and Hemma Lomax get a special preview of the 42nd Annual ACI Conference on the FCPA and Global Anti-Corruption. They are joined by two of the conference’s distinguished speakers: Sandra Moser, Partner at Morgan, Lewis & Bockius and former Chief of the DOJ’s Fraud Section, and Kimberly Parker, Partner and Co-Chair of the White-Collar Defense & Investigations practice at WilmerHale.

Sandra and Kimberly share their personal journeys into the white-collar and compliance space, discuss why this conference is a “must-attend” event in the anti-corruption world, and dive deep into their upcoming session topics. Kimberly explores how companies are re-evaluating resource allocation as global priorities evolve, while Sandra tackles the critical compliance challenges of operating in China amid geopolitical tensions.

This episode is a must-listen for practical insights on shifting DOJ expectations, the future of compliance, and tips for any first-time attendees.

 Highlights include:

* Sandra and Kimberly’s Journeys to Compliance

* Spotlight on the ACI FCPA Conference:

* Evolving Priorities & Resource Allocation

* Navigating Compliance in China

* The Future of Compliance

Resources:  

ACI’s 42nd Annual Conference on the FCPA and Global Anti-Corruption (December, Washington, DC – https://www.americanconference.com/fcpa-dc/

* Morgan, Lewis & Bockius: https://www.morganlewis.com/bios/sandramoser

* WilmerHale: https://www.wilmerhale.com/en/people/kimberly-parker

Biographies

Sandra Moser is a corporate investigations authority and trial lawyer who co-leads the firm’s global white collar and investigations practice. She is former chief of the US Department of Justice’s (DOJ’s) Criminal Division, Fraud Section in Washington, DC, and a former Assistant US Attorney (AUSA) for the District of New Jersey. She defends companies, boards, and executives in a wide range of matters—including healthcare and federal program fraud, the False Claims Act (FCA), the Foreign Corrupt Practices Act (FCPA), securities, commodities, and anti-money laundering—involving the DOJ, state attorneys general offices, US Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), US Congress, and other domestic and international enforcement agencies.

Kimberly A. Parker’s practice focuses on white-collar criminal matters, internal corporate investigations, and compliance counseling. Ms. Parker is vice chair of the firm’s Litigation/Controversy Department, co-chair of the White Collar Defense and Investigations Practice, and co-leads the Foreign Corrupt Practices Act (FCPA) and Anti-Corruption Practice. Ms. Parker is also co-chair of the firm’s Pro Bono and Community Service Committee.

Ms. Parker represents clients in a range of criminal and enforcement matters and also provides compliance and governance advice. She has conducted internal investigations in the United States, Asia, Africa, Europe, and Latin America. She has represented companies and individuals in a variety of FCPA enforcement matters. She also regularly counsels clients facing difficult FCPA issues in a variety of business contexts, and assists clients in developing and implementing FCPA compliance programs and conducting FCPA training. She is a regular speaker at FCPA events.

Categories
Word of the Week

Word of the Week with Kenneth O’Neal- The Meaning of Sacrifice: Honoring Veterans and Personal Relationships

Each week Kenneth O’Neal discusses a word which 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 currently 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 in your life. In this episode, Kenneth discusses the word – Sacrifice.

Kenneth O’Neill discusses the concept of sacrifice in the context of Veterans Day. He dives into the origins and significance of Veterans Day, emphasizing the sacrifices made by military personnel. The discussion extends to the broader implications of sacrifice in personal relationships, highlighting virtues like courage, honor, and empathy. The episode encourages viewers to reflect on how they can honor their country and loved ones through daily acts of selfless giving.

Highlights

  • Introducing the Word of the Week: Sacrifice
  • The Meaning of Sacrifice
  • Veterans Day and Its Significance
  • Relating Sacrifice to Personal Relationships

 

Resources

KRONEAL Consulting

Categories
Innovation in Compliance

Innovation in Compliance – Exploring the Evolving Landscape of Business Ethics and Sustainability with Alison Taylor

Innovation comes in many areas and compliance professionals need to not only be ready for it but 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 welcomes Alison Taylor, an expert in ethics, compliance, risk management, and business leadership.

They discuss her book ‘Higher Ground,’ its impact, and the evolution of conversations around business ethics and sustainability. Alison also shares insights about her new community on Substack, the importance of writing for clarity and communication, and the significance of sustainability in business operations. They explore the changing regulatory environment and the need for more pragmatic and inclusive conversations around sustainability. The episode concludes with Alison’s thoughts on teaching ethics and sustainability, engaging with students, and the future of sustainability in business.

Key Highlights

  • Discussing ‘Higher Ground’ and Its Impact
  • Building a Community on Substack
  • The Importance of Writing
  • Corporate Sustainability Trends
  • Teaching and Professional Insights
  • Future of Sustainability and Final Thoughts

Resources

Alison Taylor on LinkedIn

Higher Ground on Amazon.com

Check out my latest book Upping Your Game-How Compliance and Risk Management Move to 2023 and Beyond, available from Amazon.com.

 

Innovation in Compliance was recently honored as the number 4 podcast in Risk Management by 1,000,000 Podcasts.

Categories
ACI FCPA Conference 2025

ACI-FCPA Conference Speaker Preview Series – Matt Galvin on the AI and Data Analytics for Anti-Corruption Compliance Forum

In this episode of the ACI-FCPA and Global Anti-Corruption Conference Speaker Podcasts series, Matt Galvin discusses his forum, “AI and Data Analytics for Anti-Corruption Compliance,” which will be held on Tuesday, December 2.

Some of the issues the panel will discuss are:

  • Cutting-edge AI strategies for compliance;
  • Integrating AgenticAI into your workflows.
  • The need for AI governance into 2026 and beyond.

I hope you can join me at the ACI–FCPA Conference. This year’s event will take place on December 3-4 at the Gaylord National Resort & Convention Center in National Harbor, Maryland, near Washington, D.C. The lineup of this year’s event is simply first-rate, featuring some of the top FCPA professionals, white-collar attorneys, and compliance practitioners in the field.

The 2025 program is being completely redesigned to help your organization stay agile, responsive, and ahead of the curve. Expect a dynamic agenda shaped by real-world priorities, practical takeaways, and the most cutting-edge thinking in compliance—led by a faculty of global practitioners with boots on the ground, encountering the very risks that come across your desk.

Please join me at the event. For information on the event, click here. Listeners of this podcast will receive a discount by using the code D10-999-CPN26.

Categories
Compliance Tip of the Day

Compliance Tip of the Day – Winnie the Pooh and Compliance Week-Kanga, Roo and the Compliance Champion

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, our aim is to provide you with 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.

We continue our week of fun in compliance by looking at how Winnie the Pooh and his friends inform your compliance program. Today, we consider how Kanga and Roo demonstrate the utility of compliance champions throughout your organization.

For more on this topic, check out The Compliance Handbook, a Guide to Operationalizing your Compliance Program, 6th edition which was recently released by LexisNexis. It is available here.

Categories
Daily Compliance News

Daily Compliance News: November 11, 2025, The Veteran’s Day Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance brings to 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.

  • Investigation into corruption in the Ukrainian energy sector. (Reuters)
  • Ex-Glencore staff all pleaded not guilty. (Bloomberg)
  • Transforming conflict into growth. (Forbes)
  • Pitch rigging in baseball brings indictments. (ESPN)

The Daily Compliance News has been honored as the No. 2 in Best Regulatory Compliance Podcastscategory.

Categories
AI Today in 5

AI Today in 5: November 11, 2025, The Preventing Compliance Risk Edition

Welcome to AI Today in 5, the newest edition to the Compliance Podcast Network. Each day, I will bring to you 5 stories about AI stories to start your day. Sit back, enjoy a cup of morning coffee and listen in to the AI Today In 5. All, from the Compliance Podcast Network. Each day we consider four stories from the business world, compliance, ethics, risk management, leadership or general interest about AI.

  1. Detecting and Preventing Compliance risks in AI. (FinTech Global)
  2. FCA set to unify AML oversight. (FinTech Global)
  3. D&B looks at 2025 resilience trends. (FinTech Global)
  4. An AI cold war is coming for the US and China. (FoxNews)
  5. Utilities and AI. (Latitude Media)

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

Categories
Blog

The 5 Blueprints for a Compliance Podcast

In the corporate world, few tools are as powerful as the spoken word. Podcasts have become not only a medium of storytelling but a mechanism for influence, education, and relationship-building. For compliance professionals, a podcast can do far more than share updates on the latest DOJ guidance or FCPA enforcement. They can shape culture, inspire ethical leadership, and build lasting connections across the compliance ecosystem. Megan Dougherty, in her seminal book “Podcasting for Business,” laid out five business podcast blueprints. I have adapted her work for a compliance professional, explaining why you should start an internal podcast for your employees on compliance.

Drawing from Dougherty’s The Business Podcast Blueprints, we can identify five core podcast strategies that directly translate to the compliance profession: Relationship Building, Audience Engagement, Thought Leadership, Conversion, and Content. Each blueprint offers a unique path for compliance communicators. These are all critical, whether you are educating employees, influencing senior management, or amplifying the compliance message across your industry.

Let’s explore how each blueprint can help you create a compliance podcast that not only informs but transforms.

1. Relationship Building: Turning Conversations into Compliance Connections

Every effective compliance program begins with strong relationships among compliance officers, business units, leadership, employees, and the organization’s regulators. A Relationship Building podcast mirrors that principle. These shows rely on interviews and dialogues designed to create genuine professional bonds. For compliance professionals, this may mean inviting general counsel, audit leads, HR heads, or even regulators to discuss how they envision ethics and compliance evolving in their respective domains.

Instead of focusing on legal jargon, the host becomes the facilitator of understanding. The show notes and promotions should highlight the guest’s insights, emphasizing shared goals and mutual respect. The relationship is the reward. Investment in this model should focus on enhancing the guest experience through thoughtful questions, warm follow-ups, and even small gestures of appreciation. In essence, your podcast becomes an extension of your compliance diplomacy—building bridges before you need to cross them.

2. Audience Engagement: Educating, Empowering, and Evolving Your Compliance Community

If your compliance podcast already has a defined internal or external audience, such as employees across global subsidiaries or a community of compliance peers, then an Audience Engagement podcast is your vehicle for connection. This format thrives on flexibility. You can host Q&A sessions on compliance dilemmas submitted anonymously by employees, share brief educational “compliance tips,” or conduct interviews with experts on specialized risks, such as data privacy or sanctions compliance. What makes this model powerful for compliance is its two-way nature. Audience Engagement podcasts invite feedback, discussion, and participation. They allow you to hear the “compliance pulse” of your organization.

For show notes, focus on actionable takeaways: steps, checklists, and reflection prompts. This is also the ideal blueprint for sponsorship if those sponsors align with your mission. For instance, an ethics-tech vendor or compliance training platform might co-sponsor an educational episode. Your investment priority? High production value and multi-format distribution. A compliance podcast becomes truly valuable when the same episode can be transcribed for newsletters, summarized for LinkedIn, and clipped for internal training. In this way, Audience Engagement podcasts move compliance from “check the box” to “join the conversation.”

3. Thought Leadership: Becoming the Voice of Compliance

If Relationship Building is about who you know, then Thought Leadership is about what you stand for. This is the blueprint that transforms a compliance officer into a recognized industry authority. A Thought Leadership podcast emphasizes ideas, analysis, and influence. These shows often blend solo commentary with expert dialogues. Think of it as a weekly masterclass on governance, ethics, and risk. It is your chance to interpret trends, dissect new regulations, and challenge the status quo.

Show notes should highlight key ideas and next steps, turning insight into implementation. In a world where the DOJ’s Evaluation of Corporate Compliance Programs (ECCP) evolves annually, a compliance Thought Leadership podcast keeps your organization ahead of the curve. This is also where you invest in top-tier audio and post-production. Crisp sound and professional editing convey credibility. The same principle applies in compliance: presentation reflects integrity. By consistently producing thoughtful, well-researched episodes, you elevate your company’s brand while modeling what ethical leadership sounds like.

4. Conversion: Moving from Awareness to Action

In compliance, we often talk about buy-in. A Conversion podcast achieves precisely that: it turns awareness into action, engagement into enrollment. This blueprint aligns perfectly with the internal marketing of a compliance program. For instance, you might produce a limited series leading up to Corporate Compliance and Ethics Week, encouraging employees to sign up for training or submit compliance questions. Alternatively, external consultants can use a Conversion podcast to build trust with prospective clients by featuring successful case studies and compliance transformations.

Here, a case-study-style interviews work beautifully. Think of an episode featuring a supply-chain leader who revamped due diligence using new analytics tools, or a CCO who implemented an effective third-party risk program. Each story demonstrates value and calls the listener to act: “Here’s what we did. You can too.” No outside sponsors are needed in this model. The “product” is your compliance initiative. The goal is measurable engagement, as evidenced by increased training completions, a stronger reporting culture, or higher attendance at ethics town halls. A Conversion podcast is, in many ways, compliance communication at its most strategic. It moves your audience along the maturity curve from awareness to advocacy.

5. Content: Building a Compliance Knowledge Engine

Finally, we reach the Content podcast, which is the Swiss Army knife of the blueprints. Every compliance communicator needs one, whether it stands alone or supports your other podcast strategies. A Content podcast is designed for repurposing. Every episode becomes a cornerstone for articles, blog posts, training clips, and internal briefings. For compliance professionals, this is a dream model: every 20-minute conversation with a subject-matter expert can be transcribed into policy guidance, an internal newsletter feature, or even a white paper.

Show notes here should be as detailed as possible. Here, you can think of them as a searchable compliance archive. Want to create a “Compliance 365” campaign? Your Content podcast provides the raw material. The main investment should go into formatting and distribution. Use transcripts, video snippets, and visual infographics to meet your audience where they are, whether in the boardroom, on the factory floor, or scrolling LinkedIn during lunch. A Content podcast ensures that your compliance message doesn’t end when the mic goes off. It endures across formats, reinforcing the culture of ethics you’re working to establish.

Pulling It All Together: The Compliance Podcast as a Strategic Asset

So which blueprint should you choose? The answer, as in compliance itself, depends on your goals. If your goal is to build alliances within the business, focus on Relationship Building. To foster ongoing dialogue, select Audience Engagement. To elevate your professional reputation and set the tone for the field, lead with Thought Leadership. When you need to move your stakeholders toward action, lean into Conversion. And if your goal is sustainability and scalability, Content will power your entire ecosystem.

The best compliance podcasts blend these blueprints. A single series might start with Relationship Building and a Chief Audit Executive, evolve into Thought Leadership commentary, and conclude with a Conversion-style call to action for employees to “Speak Up.” The beauty of podcasting for compliance professionals lies in its adaptability. It is not merely a medium, but rather it is a method of leadership.

A compliance podcast is not just another communication channel; it is a strategic platform that amplifies trust, transparency, and accountability. When done right, it embodies the very principles we champion as compliance professionals.

Before you hit “record,” ask yourself: What is my blueprint? Because when your voice carries purpose and your podcast carries integrity. Remember, you are not just broadcasting; you are also engaging. You are building the next generation of compliance culture.

For a free eCopy of Megan’s book, Podcasting for Business, click here.

Categories
Blog

The 2025 Agora Award: How Regulatory Ramblings Is Changing the World One Podcast Episode at a Time

When the Compliance Podcast Network (CPN) launched the Agora Awards for Excellence in Business Podcasting in 2024, the goal was simple yet profound: to honor voices that move the compliance and ethics profession forward. Named for the ancient Greek agora, the public square where citizens once gathered to exchange ideas, debate policy, and shape civic life, the award celebrates podcasters who use their platform to transform conversation into change. In a world where ethics, regulation, and governance intersect more visibly than ever before, the Agora Award recognizes those who elevate discourse and inspire integrity.

The inaugural 2024 award went to Mary Shirley and Lisa Fine, co-founders of the Compliance Podcast Network and hosts of Great Women in Compliance (GWIC). Their groundbreaking show spotlighted the achievements of women across the compliance profession, transforming individual stories into a collective movement for inclusion, mentorship, and leadership.

But as important as all that was and continues to be today, their work redefined what a compliance podcast could be: not just a vehicle for information, but a community where authenticity and purpose meet. What started as a LinkedIn group evolved into conference appearances, roundtables, and is now a full-blown annual conference on Women in Compliance. In short, Lisa Fine and Mary Shirley changed the world through their podcast.

They set the bar for the Agora Award very high indeed.

A New Voice for a Global Dialogue

We’re still here.” -Ajay Shamdasani

With that comment, Ajay Shamdasani provided one of the most important reasons for a podcast on business and regulatory issues. It also speaks directly to the power of podcasting. In 2025, the Agora Award torch passed to Regulatory Ramblings, a podcast that has taken the global conversation on law, regulation, and ethics to new heights. Produced with intellectual rigor and deep curiosity, Regulatory Ramblings exemplifies the power of podcasting to bridge the gap between academia, policy, and practice. It does not simply explain rules; it explores the reasons behind them, the people affected by them, and the unintended consequences that ripple through society.

The team behind Regulatory Ramblings represents an interdisciplinary powerhouse dedicated to thought leadership and accessible scholarship. Professor Douglas Arner serves as the team leader, guiding the show’s intellectual vision with his trademark clarity and depth of understanding in global financial regulation and fintech. Pros Laput, the producer, ensures that each episode flows seamlessly from concept to conversation, marrying technical excellence with creative storytelling. Ying Ming Chan, the research assistant, brings academic precision to every topic, helping the team distill complex legal frameworks into insights that listeners can apply in their own work. Finally, the host and showrunner bring it all together. A longtime journalist in APAC, he brings a sharp interviewing style, journalistic instincts, and a global perspective, creating the connective tissue between expert guests and an engaged audience.

Turning Regulation Into Storytelling

What sets Regulatory Ramblings apart is its ability to humanize regulation. Rather than treating law and compliance as static frameworks, each episode explores the living, breathing world of policy as it affects individuals, businesses, and nations. Whether unpacking the evolution of digital finance, exploring sustainable governance, or examining the ethical dimensions of emerging technologies, the show approaches each issue with balance, curiosity, and conscience.

Listeners find themselves drawn not just to the content but also to the cadence of conversation—a blend of academic inquiry and practical insight that makes complex regulatory debates accessible without losing nuance. The result is a podcast that educates as it empowers, cultivating a new generation of professionals who view regulation not as an obstacle but as a tool for building trust, stability, and fairness in markets worldwide.

The Spirit of the Agora Lives On

The Agora Award is designed to celebrate precisely this kind of transformative impact. Just as Great Women in Compliance gave voice to the personal and professional journeys that define the ethics community, Regulatory Ramblings demonstrates that regulation, too, has a human story. It reminds us that at the heart of every compliance framework is a question of values: how do we balance innovation with accountability, freedom with fairness, and progress with protection?

By fostering thoughtful dialogue on these questions, Regulatory Ramblings continues the Agora tradition of turning discourse into purpose. In an era when soundbites dominate the digital landscape, the show offers something rare: a space for reflection, understanding, and critical engagement. It’s not simply about what the rules say, but why they matter and how they evolve.

Voices that Shape the Future

As we look to the future of compliance and governance, Regulatory Ramblings stands as a testament to the power of collaboration and intellect. Professor Arner’s leadership anchors the show in academic rigor; Laput’s production craft transforms scholarship into story; Chan’s research deepens every discussion; and Shamdasani’s voice connects global listeners to the pulse of regulatory innovation. Together, they exemplify the best of what podcasting can achieve when it merges substance with storytelling.

The 2025 Agora Award not only honors Regulatory Ramblings for excellence in production and impact, but it also recognizes the show’s role in advancing the global conversation about ethics, regulation, and the public good. The conversations on the pod range globally, from APAC to the MENA, EU, and US, but it is a Hong Kong-based podcast that continually reminds us that Hong Kong is still here. In doing so, it reinforces what the Agora has always stood for: open dialogue, intellectual courage, and the belief that conversation can lead to transformation.

For the compliance and governance community, that message resonates deeply. Because in the end, as Regulatory Ramblings so brilliantly demonstrates, the real power of podcasting is not simply in talking; it is in changing the way we think.

Resources

Presentation of the Agora Award at the 2025 Podcasting for Business Conference. Click here for information and registration. The event is at no charge. The Agora Award will be presented to Ajay Shamdasani at 11:15 AM on Tuesday, November 11. Immediately thereafter, I will be in conversation with Ajay about Regulatory Ramblings and the significance of the award to the team.

Check out Regulatory Ramblings on the Compliance Podcast Network.