Categories
Trekking Through Compliance

Trekking Through Compliance-Episode 45 – The Gamesters of Triskelion


In this episode of Trekking Through Compliance, we consider the episode The Gamesters of Triskelion which aired on January 5, 1968, Star Date 3211.7.
Compliance Takeaways:

  1. What tools are available to you?
  2. What is inform risk?
  3. What is your risk management strategy?
Categories
Daily Compliance News

Daily Compliance News: July 15, 2019, the Podcasts are Powerful edition

In today’s edition of Daily Compliance News:

Categories
FCPA Compliance Report

FCPA Compliance Report-Episode 437, Kelly Leonard on The Second City Works and Compliance

In this episode of the FCPA Compliance Report, I visit Kelly Leonard, Executive Director, Insights and Applied Improvisation at The Second City Works. We discuss the compliance training which The Second City Works has developed and how they have incorporated storytelling into compliance training and communications.
Some of the highlights include:
  1. Most folks are familiar with Second City but what is Second City Works?
  2. What are the service offerings of Second City Works?
  3. What is the Second Science Project and how does it inform your service offerings?
  4. Why is storytelling so important in training and ongoing communications?
  5. The book “Yes, And: How Improvisation Reverses “No, But” Thinking and Improves Creativity and Collaboration–Lessons from The Second City”.
  6. How do you mentor Millennials but sidestep the drama?
  7. As a company scales up or grows how can it keep its lines of communications open?
  8. Where can listeners go for more information?
You can find more information on The Second City Works by checking out their website, here.
Categories
Trekking Through Compliance

Trekking Through Compliance-Episode 44 – The Trouble with Tribbles

In this episode of Trekking Through Compliance, we consider the episode The Trouble with Tribbles which aired on December 29, 1967, Star Date 4523.3.
Compliance Takeaways:

  1. What is the financial health of your suppliers?
  2. What happens when management controls are too siloed?
  3. Are you engaging in social media monitoring?
Categories
Daily Compliance News

Daily Compliance News: July 14, 2019 Sunday Book Reivew edition

In today’s edition of Daily Compliance News:

Categories
Daily Compliance News

Daily Compliance News: July 13, 2019, the Facebook fined edition

In today’s edition of Daily Compliance News:

  • FTC proposes a $5 bn fine for Facebook. (NYT)
  • Epstein developments-(1) Feds allege witness tampering (NYT); (2) Acosta resigns. (WSJ)
  • Deutsche Bank pays $175MM to settle bribery allegations. (FT)
  • Head of Vatican’s Sistene Chapel choir resigns amid fraud allegations. (Reuters)
Categories
Trekking Through Compliance

Trekking Through Compliance-Episode 43 – Wolf in the Fold


In this episode of Trekking Through Compliance, we consider the episode Wolf in the Fold which aired on December 22, 1967, Star Date 3614.9.
Compliance Takeaways:

  1. Does your Board engage in active oversight of your compliance function?
  2. Do you perform due diligence on potential senior management hires?
  3. What should be the length of a suspension?
Categories
This Week in FCPA

This Week in FCPA-Episode 162 – the Halfway to ‘Take it Back’ edition

The All-Star Game has come and gone and the Astros are halfway back to returning the World Series trophy to Houston.  As Tom and Jay look forward to the second half of the baseball season,  they are back  to discuss some of this week’s top compliance and ethics stories which caught their collective eyes.
1.    GDPR week.
2.    Why do FCPA resolutions take so long? Matthew Stephenson considers through the lens of the Walmart FCPA enforcement action.
3.    What is suspension and debarment? Jay Rosen explains in Part 1 of a five-part series.
4.    The FBI is actively investigating in Latin America. Matt Ellis reports.
5.    What finance can learn about compliance from recent corporate scandals.
6.    Deutsche Bank now under scrutiny for its role in 1 MDB scandal. Dylan Toklar continues to nail.
7.    What is data maintenance and why is it so critical to compliance?
8.    CCOs and D&O coverage. Julie DeMauro and Janaya Moscony.
9.    Caremark is alive and well, at least when it comes to ice cream.
10. Have you checked in on Trekkng Through Compliance? If not sample of this week’s exploration of Star Trek-the Original Series and compliance. Check out the following: Monday-Metamorphosis; Tuesday-Journey to Babel; Wednesday-Friday’s Child; Thursday-The Deadly Years; and Friday-Obsession. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone,YouTube,  Spotifyand Corporate Compliance Insights,  Compliance Podcast Networkand now on the C-Suite Radio Network.
11. Tom and Jonathan Marks are joining Sean Freidlin (back from his honeymoon) on a Hanzo webinar on Wednesday, July 17 at 2 PM EDT. We discuss compliance research, trend and key enforcement actions from Q2. The event is free. For more information and registration details, click 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.
Categories
Popcorn and Compliance

Toy Story 4

In this podcast series, recovering screenwriter (and Mr. Monitor) Jay Rosen and Tom (the Compliance Evangelist) indulge in passion for the movies by looking at them through the lens of compliance. Jay is a contemporary movie fan and I am more of a classic movie maven so we present a well-rounded view of the movie fandom. If you want to indulge in your love for the movies with two guys who are passionate about Hollywood and get some ideas for your compliance program, this is the podcast series for you.For this  offering, we consider the recently released Toy Story 4.
Some of the highlights include:

  • Why did this movie seem to come from a place of revenue generation over emotion?
  • Where was the heart of the movie?
  • Why did the entire movie seem so contrived?
  • Lack of minor characters playing much of any role.
  • The introduction of ‘Forky’ and does this character work?
  • Jay gives the Inside Hollywood story of the production.
  • Jay gives the movie not only a half-full bucket of popcorn but a stale half-bucket as well. Tom joins with a half-bucket of popcorn as well but goes with fresh popcorn. Both were very disappointed in the film.

Some of the Compliance takeaways:

  1. How do you onboard new employees around compliance and ethics?
  2. What is your investigative protocol?
  3. Get out of the office and into the field.
Categories
Trekking Through Compliance

Trekking Through Compliance-Episode 42 – Obsession


In this episode of Trekking Through Compliance, we consider the episode Obsession which aired on December 15, 1967, Star Date 3619.2.
Compliance Takeaways:

  1. Sometimes a CCO must make a stand and speak truth to power.
  2. How is a root cause analysis different than an investigation?
  3. Why you should train for crisis management.