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Because That's What Heroes Do

Deep Space 9 – Episode 18: Waltz: A Deep Dark Dive into Madness

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 pivotal installment of Star Trek: Deep Space Nine, focusing on the character of Dukat and his eerie evolution into madness.

Tom, Murphy, and Megan discuss the unique emphasis on a side character rather than a main one and explore the depths of Dukat’s malevolence revealed throughout the episode. The conversation touches on Dukat’s gradual unmasking, comparing his portrayal to historical and fictional exemplars of pure evil. This leads to a broader discussion on the symbolism and thematic parallels this episode shares with others in the series. Alongside examining Dukat’s psychological unraveling, the episode also looks at the evolving leadership dynamics on DS9, particularly Kira and Worf’s contrasting command styles amidst the grim backdrop of war. Through these analyses, they explore how this episode expertly balances intense character study with broader narrative implications, making it one of the most critically acclaimed of the series.

Key highlights:

  • The Importance of the Episode
  • Character Focus: Dukat
  • Dark Themes and Comparisons
  • Character Dynamics and Evolution

Resources:

Megan Dougherty

LinkedIn

One Stone Creative

Twitter

Tom

Instagram

Facebook

YouTube

Twitter

LinkedIn

Categories
Kerrville Weekly News Roundup

Kerrville Weekly News Roundup: December 7, 2024

Welcome to the Kerrville Weekly News Roundup. Each week, veteran podcaster Tom Fox and his colleagues Andrew Gay and Gilbert Paiz get together to go over a couple of their favorite stories from the past week from Kerrville and the greater Hill Country. Sit back, enjoy a cup of morning coffee, and listen in to get a wrap-up of the Kerrville Weekly News. We each consider two of our favorite stories and talk about the upcoming weekend’s events, which we will enjoy or participate in this weekend.

In this episode, Tom takes a solo turn to examine some of the things that caught his attention over the past week.

Stories include:

  • Lots of Christmas events in Kerrville
  • National Investigators conference in Kerrville
  • $10K donation to Kerrville Parks and Recreation
  • Christmas Holiday Parade
  • UT in the SEC Championship Game

Resources:

Tom Fox on LinkedIn

Gilbert Paiz on LinkedIn

Andrew Gay on LinkedIn

Texas Hill Country Podcast Network

Categories
10 For 10

10 For 10: Top Compliance Stories For the Week Ending December 7, 2024

Welcome to 10 For 10, the podcast that brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance, brings you the compliance professional and the compliance stories you need to know to end your busy week. Sit back, and in 10 minutes, hear the stories every compliance professional should know from the prior week. Every Saturday, 10 For 10 highlights the most important news, insights, and analysis for the compliance professional, all curated by the Voice of Compliance, Tom Fox. Get your weekly filling of compliance stories with 10 for 10, a podcast produced by the Compliance Podcast Network.

  • McKinsey agrees to FCPA settlement for corruption in South Africa. (DOJ Press Release)
  • Judge rejects DOJ/Boeing settlement.  (WSJ)
  • Defense in Trafigura case can’t knock out star prosecution witness. (FT)
  • Was it corruption or a smart (or dumb) business deal? (TNR)
  • Tesla lost the case on the 2nd Musk pay package. (WSJ)
  • Was it fraud or worse? (NYT)
  • Paul Atkins was selected to head SEC. (FT)
  • Trump-appointed Texas judge enjoins CTA nationally. (Bloomberg)
  • OIG looks to hold nursing care execs responsible. (McKnight’s Long-Term Care News)
  • Buying/Selling homes and compliance.  (Mortgage News Daily)

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

You can check out the Daily Compliance News for four curated compliance and ethics-related stories each day here.

Check out the entire 3-book series, The Compliance Kids, on Amazon.com.

Connect with Tom 

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Compliance Tip of the Day

Compliance Tip of the Day – Boards and Digital Transformation of Compliance

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, we aim to provide 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.

The Board can help lead the digital transformation of compliance.

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

Check out the entire 3-book series, The Compliance Kids, on Amazon.com.

Categories
Daily Compliance News

Daily Compliance News: December 6, 2024 – The Boeing Settlement Bounced 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 for the compliance professional.

  • He forgot what the Compliance Committee did. (FT)
  • Colombia’s Finance Minister was replaced. (Reuters)
  • McKinsey agrees to FCPA settlement for corruption in South Africa. (DOJ Press Release)
  • Judge rejects DOJ/Boeing settlement.  (WSJ)

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

Check out the entire 3-book series, The Compliance Kids, on Amazon.com.

Categories
Classroom Insiders

Classroom Insiders, Season 2 – Understanding Injunctions in SEC Cases: Standards and Circuit Differences

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 Woody is joined by law students Allison and Emilio to delve into the complexities of injunctions in SEC cases. They explore the differences between the Second and Third Circuit standards for granting preliminary injunctions, mainly focusing on the statutory injunction standard versus the traditional four-part test. Through real-world examples, such as the SEC v. David Smith case, they discuss the practical implications of these standards on asset freezes, insider trading cases, and overall SEC enforcement efficacy. The conversation also touches on the constitutional implications of pre-trial asset freezes and the potential for judicial forum shopping, making this episode a must-listen for anyone interested in securities law and corporate compliance.

Key highlights:

  • Meet the Students: Allison and Emilio
  • Topic Overview: Insider Trading and Injunctions
  • Deep Dive: Circuit Differences in Injunction Standards
  • Case Studies: SEC Actions and Asset Freezes
  • Debate: Pros and Cons of Injunction Standards
  • Forum Shopping and Judicial Discretion

Resources:

Washington and Lee School of Law

Professor Karen Woody

Categories
12 O’Clock High-a podcast on business leadership

12 O’Clock High, a podcast on business leadership – Jared Connors on Navigating PFAS Regulations, Trade Sanctions, and Sustainability Reporting in 2025

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 Jared Connors to navigate PFAS Regulations, Trade Sanctions, and Sustainability Reporting in 2025.

Tom welcomes former colleague Jared Connors to discuss key compliance issues as 2024 approaches. Their conversation dives into PFAS regulations, trade sanctions, sustainability reporting, and how businesses must navigate these complex landscapes. Jared explains the critical impact of PFAS ‘forever chemicals,’ shedding light on state-level and federal restrictions and the international obligations of companies involved in manufacturing and distribution. The episode also tackles the implications of trade sanctions and how companies can manage their supply chains to avoid disruptions, especially in light of global tensions and shifting political dynamics. Moving forward, Jared provides insight into upcoming sustainability reporting obligations, such as the EU’s Corporate Sustainability Reporting Directive (CSRD) and California’s new stringent laws, emphasizing the importance of data collection and transparent reporting in mitigating risks. This episode provides a comprehensive overview for compliance professionals looking to stay ahead of regulatory changes and market expectations.

Key highlights:

  • PFAS: The Forever Chemicals
  • Sanctions and Trade Restrictions
  • Corporate Sustainability Reporting Directive (CSRD)
  • Impact of Tariffs on Companies

 Resources:

Jared Connors on LinkedIn

Assent Compliance

Tom Fox

Instagram

Facebook

YouTube

Twitter

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Presidential Leadership Lessons for the Business Executive

Presidential Leadership Lessons – Reassessing the Legacy of Warren G. Harding

Who are our greatest Presidents? What lessons can the modern-day business leader learn from our 46 Chiefs of State? Welcome to a new season of this award-winning podcast series with Tom Fox and Richard Lummis to delve into the great and not-so-great Presidents to mine their successes and failures for today’s business executives.

In this episode, Tom Fox and Richard Lummis delve into the presidency and life of Warren G. Harding, often labeled as one of the worst U.S. presidents. They investigate his pre-political career as a newspaper editor and discuss his rise in politics and the personal and public crises he faced. Despite his seemingly ineffective presidency, Harding saw the introduction of new technologies, progressive tax policies, and increased tariffs, which helped fuel the Roaring Twenties. However, significant scandals, including Teapot Dome, overshadowed his tenure. The episode closes by questioning whether Harding’s administration was a lost opportunity for greater achievements and more substantial reforms.

Key highlights:

  • Early Life and Career of Warren G. Harding
  • Political Rise: From Ohio to the Senate
  • The 1920 Presidential Campaign
  • Domestic Policies and Achievements
  • Foreign Affairs and International Relations
  • Scandals and Controversies
  • Legacy and Reassessment of Warren G. Harding

Resources:

UVA Miller Center

1.     General Overview

2.     Life Before Presidency

Politico-Nomination of Harding

Presidency of Harding-Warren Harding Presidential Site

Scandals-History America

Death-American Journal of Medical Science

Categories
Blog

Lisa and Mary Changed the World: The Great Women in Compliance Community

In the world of compliance, where incremental victories often measure progress against pervasive risks, it’s rare to witness a revolution. Yet Lisa Fine and Mary Shirley have achieved just that. Through their groundbreaking podcast, Great Women in Compliance (GWIC), they did not just host conversations; they redefined what it means to foster a community. Alongside their book Sending the Elevator Back Down, they have created a legacy of empowerment, collaboration, and celebration in a field that thrives on shared knowledge and collective strength.

Lisa and Mary were recently honored for their work in creating GWIC, the GWIC community, and leading the development of an entire movement of women supporting other women in the worldwide compliance community. The Compliance Podcast Network named Lisa and Mary the co-winners of its first annual Agora Award for Excellence in Podcasting.

The Birth of Great Women in Compliance

The idea for Great Women in Compliance was sparked at an SCCE Society of Corporate Compliance and Ethics (SCCE) event in 2018. As the story goes, Lisa and Mary approached compliance podcasting veteran Tom Fox with a simple yet bold observation: the Compliance Podcast Network needed more diverse voices. Tom, true to form, responded with a challenge: “When will you start a podcast?”

The rest is history. With no prior experience in podcasting, Lisa and Mary leaped, driven by a shared vision of showcasing women’s stories, insights, and challenges in the compliance profession. With support from mentors like Matt Kelly and colleagues across the compliance community, the duo recorded their first episodes. What began as a grassroots effort quickly became a cornerstone of the compliance industry.

Building a Legacy: The Podcast, the Community, and the Book 

  • The GWIC Podcast: Amplifying Women’s Voices

From its inception, the GWIC podcast stood out for its authenticity and relatability. Lisa and Mary adopted an informal yet insightful interviewing style, allowing their guests to shine. The podcast featured diverse voices, from seasoned compliance leaders to rising stars, and explored various topics, including leadership, career development, and the unique challenges women face in compliance. Their approach was not simply about storytelling but about creating a platform for empowerment. The podcast became a hub for listeners to gain practical advice, discover new perspectives, and connect with a broader network of professionals.

  • The Community: A Network of Support

The GWIC podcast inspired not only listeners but also catalyzed a movement. Recognizing the need for a dedicated space for women in compliance, Lisa and Mary launched the Great Women in Compliance LinkedIn group. This online community became a vibrant forum for networking, mentorship, and resource sharing. Through this community, women found mentors, job opportunities, and a sense of belonging in an isolating field. It also spurred the creation of dedicated women in compliance sessions at significant conferences, highlighting the widespread impact of Lisa and Mary’s vision.

  • GWIC: The Book – Sending the Elevator Back Down

In October 2020, Lisa and Mary released Sending the Elevator Back Down, a book that encapsulated their philosophy and amplified women’s voices across the compliance field. The book featured stories of triumph, resilience, and lessons learned from compliance professionals worldwide. The book was published by Corporate Compliance Insights and headed by Sarah Hadden, an early supporter of GWIC who continues her support of and participation in GWIC to this day. The title reflects their core belief: success is most meaningful when shared. By “sending the elevator back down,” Lisa and Mary encouraged readers to uplift others as they rise, fostering a culture of collaboration and mutual support.

Overcoming Challenges: Lessons from the GWIC Journey 

Lisa and Mary’s journey has not been without its challenges. As they readily admit, neither had technical experience when they began podcasting. They leaned on mentors and allies to navigate the technical aspects, demonstrating the power of community in achieving ambitious goals. Additionally, their differing styles, Mary’s free-form conversational approach, and Lisa’s structured format might have posed a challenge in less harmonious partnerships. Instead, they embraced their differences, allowing their unique strengths to complement each other.

Their journey also highlights the importance of perseverance and adaptability. From launching the podcast to publishing the book during a global pandemic, Lisa and Mary consistently turned obstacles into opportunities.

The Impact: Changing the Compliance World

It is impossible to overstate the influence of Great Women in Compliance. Through representation and recognition, they have spotlighted the achievements of women in compliance. Lisa and Mary helped reshape perceptions of what leadership in this field looks like. GWIC has been a clearinghouse for professional development within the compliance community, as listeners and community members have reported finding mentors, gaining new insights, and even landing jobs thanks to connections made through GWIC.

Finally, GWIC, both the podcast and the community, has fostered a culture of inclusivity and support in compliance.

The Next Chapter

With 250 podcast episodes and a growing community, Great Women in Compliance shows no signs of slowing down. Mary has retired her co-host microphone and is now the ‘OG’ of GWIC. The GWIC podcast has expanded to include co-hosts Hemma Lomax, Ellen Hunt, and Sarah Hadden, ensuring the platform remains dynamic and inclusive. Lisa and Mary are also exploring the possibility of a second book, aiming to continue telling the stories that inspire and empower their community.

A Call to Action: Be the Change

For those who think you cannot change the world, I point you to Lisa Fine and Mary Shirley. They have proven that two women with a vision can. They built a legacy that empowers not just women in compliance but the entire industry worldwide. Their work serves as a reminder that creating meaningful change does not require a perfect plan, just passion, perseverance, and the courage to start.

Celebrating their achievements, we should all take their message to heart: success is amplified when shared. Whether through mentorship, advocacy, or simply lending a listening ear, we all have the power to lift others as we rise. Lisa and Mary have sent the elevator back down. Now, it’s up to the rest of us to ensure it keeps moving.

Categories
Compliance Tip of the Day

Compliance Tip of the Day – Compliance Expertise on Board

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, we aim to provide 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.

Just as ever corporate Board of Directors should have a Compliance Committee and a compliance expert on the Board.

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

Check out the entire 3-book series, The Compliance Kids, on Amazon.com.