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31 Days to More Effective Compliance Programs

31 Days to a More Effective Compliance Program: Day 1-Data Driven Compliance

Post author By admin
Post date January 1, 2025
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Welcome to a special podcast series on the Compliance Podcast Network, 31 Days to a More Effective Compliance Program. Over these 31 days series in January 2025, I will post a key part a best practices compliance program each day. By the end of January, you will have enough information to create, design or enhancement a compliance program. Each podcast will be short, at 6-8 minutes with three key takeaways that you can implement at little or no cost to help update your compliance program. I hope you will plan to join each day in January for this exploration of best practices in compliance.

In the first episode of ‘One Month to a More Effective Compliance Program’, host Tom Fox, the Compliance Evangelist, emphasizes the increasing importance of data analytics and monitoring in the realm of compliance. Highlighting insights from the DOJ, this episode illustrates how data-driven compliance can significantly improve decision-making, business efficiency, and risk management. By leveraging technology and effective data analysis, companies can uncover hidden issues such as improper payments and improve overall corporate transparency. Tom Fox discusses the necessity for compliance programs to have quick and easy access to data to ensure informed decision-making and proactive compliance management.

Key Highlights

Importance of Data Analytics in Compliance
Implementing Data-Driven Compliance
Challenges and Solutions in Data-Driven Compliance

Resources

Listeners to this podcast can receive a 20% discount to The Compliance Handbook, 5^th edition by clicking here.

Tags compliance, Data, data driven compliance

The Ethics Experts

Episode 188 – Cindy Marsh

Post author By ComplianceLIVE
Post date December 30, 2024
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In this episode of The Ethics Experts, Nick welcomes Cindy Marsh.

Cindy, a practicing improvisor with over 12 years of experience, is a member of the Applied Improvisation Network. She honed her skills at improv powerhouses like The Second City, Upright Citizens Brigade, and Magnet Theater. Cindy’s background in Global Logistics and Trade Compliance surprisingly intertwined with improv, as the skills proved valuable in navigating her career. Experiencing the positive impact in both her personal and professional life, she began sharing her experience and training with others. Now, as the founder of Good Human Improv Company, Cindy empowers individuals to discover their comedic potential and embrace the transformative power of improv.

Sunday Book Review

Sunday Book Review: December 29, 2024 – The Top Corporate Culture Books from 2024 Edition

Post author By admin
Post date December 29, 2024
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In the Sunday Book Review, Tom Fox considers books that interest the compliance professional, the business executive, or anyone curious. These could be books about business, compliance, history, leadership, current events, or anything else that might interest Tom. In December, Tom will review the top books in some key areas of interest for compliance professionals and four top books on corporate culture from 2024.

Unspoken by Ella F. Washington
Tribe of Mentors by Timothy Ferriss
Employalty by Joe Mull
The Gift of Culture by Will Scott

For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here.

Tags corporate culture, Employalty by Joe Mull, The Gift of Culture by Will Scott, There’s No Such Thing as Business Ethics by Andrew Cocks, Tribe of Mentors by Timothy Ferriss

Classroom Insiders

Classroom Insiders, Season 2 – US v. Chow and the Personal Benefit Test

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Post date December 27, 2024
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Welcome to Season 2 of Classroom Insiders, a podcast with Professor Karen Woody and her Insider Trading Seminar students from Washington and Lee University. They explore the arc and evolution of insider trading over the last century. Each episode will feature a discussion between Karen Woody and students about insider trading and regulation. Find out what the future lawyers of the university think about past and current legislation and learn more about this fascinating area of law.

In this episode of Classroom Insiders, Professor Karen Woody and law students Alex Hudson and Alon Gokovski review the insider trading case of United States v. Chow. And its impact on the Personal Benefit Test. Their discussion sheds light on the sensational facts of this case, including secret code words, live lobsters, and jars of honey, all used in a complex tippers-and-tippees scheme. The episode also examines the legal intricacies of the personal benefit test and its broader implications in insider trading law. The students discuss the trial, the appeal, and the ultimate impact of this case on the interpretation of insider trading laws. Insights are shared on the US Attorney’s crackdown during this period, the discrepancies in sentencing, and where the law stands today post-United States v. Chow and subsequent cases.

Key highlights:

Meet the Students: Alex and Alon
Introducing the Case: United States v. Chow
Understanding Insider Trading Law
The Sensational Details of the Chow Case
Trial and Sentencing of Winifred Chow
Appeal and Legal Implications
Final Thoughts and Broader Implications

Resources:

Washington and Lee School of Law

Professor Karen Woody

Tags Alex Hudson, Alon Gokovski, Personal Benefits Test, Professor Karen Woody, SEC

Into the Darkness

Into the Darkness – An Inside Look at Portraying Sherlock Holmes with Les Best

Post author By admin
Post date December 23, 2024
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Into the Darkness: CJ Goodwyn’s Vision of Sherlock Holmes: Mare of the Night is a deep dive into the creative journey behind an ambitious reimagining of the Sherlock Holmes legacy. This 10-part podcast series will unravel the entire movie production process, offering listeners an insider’s look into the making of Sherlock Holmes Mare of the Night, a film that blends the mystique of classic Sherlock Holmes with a dark, supernatural twist. In episode 7, I am joined by actor Les Best, who discusses his journey from a high school stage actor to playing the iconic Sherlock Holmes in the film ‘Sherlock Holmes, Mare of the Night.’

Les shares his insights into the unique challenges and opportunities of embodying one of literature’s most enduring characters and his collaborative relationship with director CJ. They explore the depth of character development and the authenticity brought to the depiction of Sherlock through meticulous research and personal experiences. Additionally, Les offers a glimpse into the process of making an independent film with passion and limited resources, highlighting the importance of such projects in the cinematic world.

Highlights include:

Les Best’s Acting Journey
Portraying Sherlock Holmes
Collaboration with CJ Goodwyn
Rehearsal and Filming Insights
Victorian England Set Design
Why Watch This Movie?

Resources:

Sherlock Holmes-Mare of the Night

On Facebook

TriGoodwyn Productions

Tags CJ Goodwyn, Les Best, Sherlock Holmes-Mare of the Night

Innovation in Compliance

Innovation in Compliance – Sage Franch and Scott McCleskey on AI-Powered Compliance Strategies for Risk Prevention

Post author By admin
Post date December 23, 2024
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Innovation comes in many areas, and compliance professionals must be ready to 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 Sage Franch, CEO and co-founder of Rulebook.ai, and Scott McCleskey, a member of Rulebook.ai’s board of advisors, who discuss their innovative AI-driven solutions for regulatory compliance.

Sage and Scott offer compelling perspectives on the role of artificial intelligence in compliance. Sage views AI as a tool to augment human capabilities, enabling compliance professionals to process large volumes of information swiftly and focus on strategic decision-making, provided the AI tools are built on trusted data sources. Meanwhile, Scott highlights AI’s potential to enhance compliance programs by reducing false positives, improving risk management, and offering real-time regulatory insights, which can make compliance efforts more efficient and proactive. Both experts agree that AI’s integration into compliance streamlines processes and empowers professionals to address compliance challenges with greater confidence and foresight.

Key highlights:

The Superpower of AI in Compliance
Enhancing Compliance Processes with AI
Proactive Compliance Measures with AI Technology
AI-Powered Compliance Strategies for Risk Prevention

Resources:

Sage Franch on LinkedIn

Scott McCleskey on LinkedIn

Tom Fox

Tags AI in compliance, compliance, RuleBook AI, Sage Franch, Scott McCleskey

Sunday Book Review

Sunday Book Review: December 22, 2024 – The Top Business Ethics Books from 2024 Edition

Post author By admin
Post date December 22, 2024
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There’s No Such Thing as Business Ethics by John Maxwell
Business Kung-Fu by Craig Cooke
The Innovative Leader by Stephen Wunker
Team Building by Pat Sullivan

For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here.

Tags business ethics, Business Kung-Fu by Craig Cooke, Team Building by Pat Sullivan, The Innovative Leader by Stephen Wunker, There’s No Such Thing as Business Ethics by John Maxwell

Because That's What Heroes Do

Deep Space 9 – Episode 20: Morality and Madness in ‘In the Pale Moonlight’

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Post date December 22, 2024
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Get ready for an exciting new season of Because That’s What Heroes Do. This season, they take a deep dive into their favorite 15 episodes of Deep Space 9. In this exploration, Tom and Megan are joined by Star Trek maven Alex Murphy (Murphy) from Montreal, a local historian, cinema, and TV fan who loves weird foreign films, all things horror, and obscure media. He has been watching Trek since he was a tiny punk, and it’s been a lifelong love. In this episode, the team reviews the episode In the Pale Moonlight, one of the gang’s all-time favorite episodes.

In this episode, we deeply dive into one of the most critically acclaimed episodes of Star Trek: Deep Space Nine, ‘In the Pale Moonlight.’ The discussion opens with a detailed analysis of the episode’s unique storytelling approach through flashbacks narrated by Captain Sisko. Sisko’s actions, aimed at bringing the Romulans into the Dominion War on the side of the Federation, are scrutinized for their moral and ethical implications. The conversation explores Sisko’s moral descent, weighing his decisions against the backdrop of a devastating war and comparing his strategic maneuvers to historical wartime alliances. Garak’s role in manipulating events is also highlighted, raising questions about his long-term plans and intentions. The episode concludes with reflections on the character arcs and the broader consequences of Sisko’s decisions.

Key highlights:

Sisko’s Moral Dilemma
The Plan Unfolds
The Romulan Deception
Consequences and Reflections
Fan Theories and Broader Implications
Final Thoughts and Rankings

Resources:

Megan Dougherty

Tom

Tags Deep Space 9, DS9, In the Pale Moonlight, Star Trek

12 O’Clock High-a podcast on business leadership

12 O’Clock High, a podcast on business leadership – Navigating the Slippery Slope of Business Ethics: Alec Burlakoff’s Story

12 O’Clock High, an award-winning podcast on business leadership, brings together stories from history, the arts, sports and movies, research, and current events to consider leadership lessons. In this episode, Tom is joined by Alec Burlakoff, who shares his compelling journey from a successful career in the pharmaceutical industry to a cautionary tale of white-collar crime.

Alec recounts his background in coaching and social work before transitioning to the pharmaceutical field, where his rapid climb to senior vice president halted due to off-label drug promotion and bribery charges. He discusses the ethical pitfalls he encountered, the consequences of his actions, and his subsequent indictment, pleading guilty, and serving a federal prison sentence. Alec emphasizes the importance of compliance departments in preventing ethical lapses and the necessity for sales and compliance to work in synergy. He also sheds light on the mindset of white-collar professionals, the dangers of working in the gray, and how organizations can cultivate a culture of accountability and integrity. Throughout the conversation, Alec’s transformation offers invaluable lessons for compliance professionals and corporate leaders on fostering ethical practices in heavily regulated industries.

Key highlights:

Alec’s Background and Career Transition
The Downfall: Off-Label Promotion and Indictment
Shifting Mindsets: Understanding White Collar Crime
The Role of Compliance in Sales
Accountability and Personal Journey

Resources:

Alec Burlakoff on LinkedIn

Limitless! Consulting

Tom Fox

Tags Alec Burlakoff, compliance, ethics, white-collar crime

2 Gurus Talk Compliance

2 Gurus Talk Compliance – Episode 42 – The Holiday Edition

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Post date December 20, 2024
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What happens when two top compliance commentators get together? They talk compliance, of course. Join Tom Fox and Kristy Grant-Hart in 2 Gurus Talk Compliance as they discuss the latest compliance issues in this week’s episode! Today, Tom and Kristy look back at some of their favorite stories from 2024.