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Compliance Week Conference Podcast

Ellen Hunt on Introducing Interactivity and Behavioral Science to Your Ethics & Compliance Program

In this episode of the Compliance Week 2022 Preview Podcasts series, Ellen will discuss some of her presentations at Compliance Week 2022, “Introducing Interactivity and Behavioral Science to Your Ethics & Compliance Program.” Some of the issues she will discuss in this podcast and her presentations are:

  • Learn how to transform your code of conduct from static to dynamic and interactive, featuring practices from behavioral science that help employees retain information
  • Discover the latest best practices for ethics and compliance training and how to make it more effective, engaging, and “sticky,” with examples
  • Find out how to use interactivity data from your code of conduct, helpline, disclosures, and training to increase risk visibility and identify trends and hotspots.

In this first entire compliance conference in over 2 years, I hope you can join me at Compliance Week 2022. This year’s event will be May 16-18 at the JW Marriott in Washington DC. The line-up of this year’s event is the first-rate with some of the top ethics and compliance practitioners around.

Gain insights and make connections at the industry’s premier cross-industry national compliance event offering knowledge-packed, accredited sessions and take-home advice from the most influential leaders in the compliance community. Back for its 17th year, compliance, ethics, legal, and audit professionals will gather face-to-face to benchmark best practices and gain the latest tactics and strategies to enhance compliance programs and many others to:

  • Network with your peers, including C-suite executives, legal professionals, HR leaders, and ethics and compliance visionaries.
  • Hear from 75+ respected cross-industry practitioners who are CEOs, CCOs, regulators, federal officials, and practitioners to help inform and shape the strategic direction of your enterprise risk management program.
  • Hear directly from the two SEC Commissioners and gain insights into the agency’s enforcement areas and walk away with guidance on how to remain compliant within emerging areas such as ESG disclosure, third-party risk management, cybersecurity, cryptocurrency, and more.
  • Bring actionable takeaways back to your program from various session types, including ESG, Human Trafficking, Board obligations, and many others, for you to listen, learn and share.
  • The goal of Compliance Week is to arm you with information, strategy, and tactics to transform your organization and your career by connecting ethics to business performance through process augmentation and data visualization.

I hope you can join me at the event. For information on the event, click here. As an extra benefit to listeners of this podcast, Compliance Week is offering a $200 discount on the registration price, and enter discount code TFLAW $200 OFF.

Categories
Great Women in Compliance

Ann Sultan – Diversity as a Regulatory Issue

Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.

Today Lisa speaks with Ann Sultan, Partner and Practice Lead for the Europe-Caucasus-Asia Practice Group at Miller & Chevalier. Ann helps multinational companies build their compliance programs and conduct global investigations to support their anti-corruption, anti-harassment, and anti-discrimination objectives.

Ann has spent most of her career in law firms and talks about how she built her practice and career, noting how the support of more senior women at Miller & Chevalier was impactful in her career growth. Lisa and Ann also discuss the topic of diversity as a regulatory issue, and how the NASDAQ guidance on this topic and the UK FCA statements make this even more clear.

Ann also contributed to “Sending the Elevator Back Down: What We’ve Learned From Great Women in Compliance,” (CCI Press 2020), and Lisa and Mary will be guests at the Seven Elements Book Club on May 11 on Zoom to discuss the book. Please message them if you would like to know more.

Are you attending Compliance Week’s annual conference? The GWIC team of Lisa, Tom, and Mary will all be speaking and look forward to saying hello to listeners of Compliance Podcast Network listeners in DC!

Corporate Compliance Insights is a much-appreciated sponsor and supporter of GWIC. You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast.

Join the Great Women in Compliance community on LinkedIn here.

Categories
Compliance Into the Weeds

Impacts on Compliance of Russian Invasion of Ukraine

Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. This week, Matt and Tom take a deep dive into some of the impacts on compliance from the Russian invasion of Ukraine. Highlights include:

·      How will the invasion impact your Supply Chain?

·      What are the attributes of a compliance program that can lead your corporate response?

·      What about cyber?

·      Will all this lead to a more holistic ERM response?

Resources

Matt in Radical Compliance

Categories
Daily Compliance News

May 4, 2022 the May the 4th Be With You Edition


In today’s edition of Daily Compliance News:

  • SEC to hire more crypto fraud enforcers. (WSJ)
  • Who needs a business plan? (NYT)
  • Failures of UK sanctions. (FT)
  • SCt to overturn Roe v. Wade? (Reuters)
Categories
The Compliance Life

Mark Beyer – College & Early Career

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Mark Beyer, the Ethics and Compliance Officer at Pedernales Electric Cooperative.

Mark graduated from Texas State University with a degree in business economics. He began work in international operations at Lockheed Martin where he work in aerospace and government contracts. At Lockheed he began to learn a series of lessons and develop skills for what he calls his ‘Compliance Toolbox’. He learned several of these skills at Lockheed.

Tool No. 1 was collaboration, which he learned from his mentor at Lockheed, Steve Engle. Through this process, Beyer learned that titles and degrees matter less than good ideas and willingness to join in problem solving.

Tool No. 2 was learned through becoming certified in Lean Six Sigma and it helped Beyer learn process management and overseeing such project.

Tool No. 3 was the role of compliance and why having a seat at the table is so critical.

Tool No. 4 was the international experience he learned at Lockheed by traveling for his work and learning about other cultures.

Resources

Mark Beyer LinkedIn Profile

Pedernales Electric Cooperative

Categories
Compliance Week Conference Podcast

Kristy Grant-Hart on Navigating the Global Regulatory Environment

In this episode of the Compliance Week 2022 Preview Podcasts series, Kristy will discuss some of her presentation at Compliance Week 2022 “Deep Dive: Navigating the Global Regulatory Environment”. Some of the issues she will discuss in this podcast and her presentation are:

  • Driving compliance culture change across diverse geographies, functions, and teams
  • How global organizations can remain compliant within global areas with conflicting laws
  • Sharing data across borders
  • Setting up SOPs to remain compliant
  • Keeping up with changing requirement across the globe, including high-conflict areas (China, Russia, etc.), FCPA enforcement, EU development, etc.

In this first full compliance conference in over 2 years, I hope you can join me at Compliance Week 2022. This year’s event will be May 16-18 at the JW Marriott in Washington DC. The line-up of this year’s event is simply first rate with some of the top ethics and compliance practitioners around.

Gain insights and make connections at the industry’s premier cross-industry national compliance event offering knowledge-packed, accredited sessions and take-home advice from the most influential leaders in the compliance community. Back for its 17th year, compliance, ethics, legal, and audit professionals will gather safely face-to-face to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs. and many others to:

  • Network with your peers, including C-suite executives, legal professionals, HR leaders and ethics and compliance visionaries.
  • Hear from 75+ respected cross-industry practitioners who are CEOs, CCOs, regulators, federal officials, and practitioners to help inform and shape the strategic direction of your enterprise risk management program.
  • Hear directly from the two SEC Commissioners and gain insights into the agency’s areas of enforcement and walk away with guidance on how to remain compliant within emerging areas such as ESG disclosure, third-party risk management, cybersecurity, cryptocurrency and more.
  • Bring actionable takeaways back to your program from various session types including ESG, Human Trafficking, Board obligations and many others for you to listen, learn and share.
  • The goal of Compliance Week is to arm you with information, strategy and tactics to transform your organization and your career by connecting ethics to business performance through process augmentation and data visualization.

I hope you can join me at the event. For information on the event, click here. As an extra benefit to listeners of this podcast, Compliance Week is offering a $200 discount off the registration price. Enter discount code discount code TFLAW $200 OFF.

Categories
Everything Compliance - Shout Outs and Rants

Shout Outs and Rants from Episode 99


Welcome to the Shout Outs and Rants podcast from the award-winning Everything Compliance gang. Today we have the following:
1. Jay Rosen shouts out to gaslighters Marjorie Taylor Green and Kevin McCarthy for denying they made comments when the audio was played to them.
2. Matt Kelly gives a shout out to the Brooklyn Public Library for offering a free library cards to those from towns where the GOP has banned books.
3. Jonathan Marks rants about Comcast which marketed a product which does not exist.
4. Tom Fox shouts out to shareholders of Credit Suisse who revolted against the Board when it tried to shield itself from liability over its recent financial failures.

Categories
The ESG Compliance Podcast

Contracting for ESG with Sarah Dadush and David Snyder


Attorneys and professors in law David Snyder and Sarah Dadush join the podcast to discuss the role of contracting in ESG, how a conventional approach to writing contracts may not be the best choice, which issues are fixed, and how accountability should be on both the buyer and supplier.
▶️ Contracting for ESG with David Snyder and Sarah Dadush:
Key points discussed in the episode:
✔️ Supply chains are doing enough for ESG compliance. David Snyder and Sarah Dadush aim to combat this with more effective measures.
✔️ Policies remain unimplemented if they aren’t in the contract. Having a supplier code of conduct written with the assistance of a business lawyer isn’t enough to create change.
✔️ Working at an oil refinery helped David Snyder learn the true culprit – organized crime. He wanted human and environmental efforts to be treated the same way as product manufacturing.
✔️ ESG can impact both consumer and investor decisions. The California Supply Chains Transparency Act pushed for full disclosure directed at the customers.
✔️ Focusing only on forced labor leaves out other problems.
✔️ Traditional approaches to contracting ESG don’t work, Sarah Dadush says. Not only does it aggravate human rights risks but also increases the company’s chances of legal violations.
✔️ David Snyder emphasizes the importance of risk as part of supply chain management and compliance obligations. Lawyers should also play their part in handling clients properly instead of resorting to risk shifting.
✔️ Contracts don’t fix all supply chain issues. It all boils down to supply chain resilience. A weaker foundation puts companies in greater danger, especially in times of difficulty like the COVID-19 pandemic.
✔️ Buyers should be responsible when exiting contracts. Contracts have been misused at the height of the pandemic, and consumers are now urging businesses to be accountable for their shortcomings.
David Snyder was appointed professor of law at the American University Washington College of Law in the fall of 2007 and was appointed director of the Business Law Program in 2008. During 2021-2022, he also holds a Fernand Braudel Senior Fellowship at the European University Institute (Florence). He graduated summa cum laude from Tulane University Law School in 1991, and he has been a professor of law at Tulane, Indiana (Bloomington), and Cleveland-Marshall College of Law. He has been a regular visiting professor at the law school of the University of Paris II (Panthéon-Assas) since 2012, and has also been a visiting professor at the University of Paris 10 (Nanterre La Défense), Boston University, and the College of William and Mary. In addition, he has taught summer courses at the University of Mainz (Germany). After graduating from law school, Professor Snyder served as a law clerk to the Honorable John M. Duhé Jr. of the United States Court of Appeals for the Fifth Circuit, and subsequently joined the D.C. firm of Hogan & Hartson (now Hogan Lovells). In 2014 Professor Snyder was awarded a MacCormick Fellowship during which he delivered the annual Wilson Memorial Lecture at the University of Edinburgh.
Sarah Dadush’s research lies at the intersection of business and human rights. Her scholarship explores various innovative legal mechanisms for improving the social and environmental performance of multinational corporations. She directs the Law School’s newly-established Business & Human Rights Law Program and co-leads an ABA Business Law Section Working Group that has developed a comprehensive toolkit for upgrading international supply contracts to better protect workers’ human rights.
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Do you have a podcast (or do you want to)? Join the only network dedicated to compliance, risk management, and business ethics, the Compliance Podcast Network. For more information, contact Tom Fox at tfox@tfoxlaw.com.

Categories
Innovation in Compliance

Compliance as a Service with Avi Singer


 
Avi Singer is the founder and CEO of Showd.me, a company that is helping organizations provide remote and on-demand compliance training solutions, specifically in the healthcare space. Tom Fox welcomes him to this week’s show to talk about how Showd.me helps its clients and compliance as a service.  
 

 
The Commercialization of Compliance
Avi tells Tom that the name Showd.me came from a common experience: when you ask someone how they learned to do something they would usually reply, “Somebody showed me”. Showd.me began as a platform that was designed for companies to implement social and peer-to-peer learning. This means that it allows new employees to learn and train from more experienced employees across the organization, via an easy-to-use learning management platform. They grasped the opportunity to break into the healthcare compliance industry, where they aid in hiring, developing, retaining, and certifying the organization’s employees. 
 
Compliance as a Service
Tom asks Avi to define compliance as a service and how the concept resonates for him in the marketplace. Compliance as a service is providing a platform where compliance training can be readily accessible for those who require it, Avi responds. “In the compliance marketplace the platform is important, the technology, the learning management platform is important, and accessibility is important, and whether people can use it is important,” Avi explains. He adds that making it in the compliance as a service industry, means tailoring the content and the training for their audience, in order to achieve the organization’s goal. 
 
Talent Acquisition and Retention 
In a response to Tom’s question, Avi explains how Showd.me helps an organization with setting up their new hires for success. He says that there are two concepts that they take into consideration during the application and hiring process. They are hiring for a while and hiring for now. When hiring for a while, you should focus on selling your organization as the ideal work environment, where future employees can see themselves thriving. Showd.me helps their clients by doing the paperwork and remote training for the prospective “hired for a while” employees. Additionally, they provide support for every step of the new journey for the new employees. 
 
When hiring for now, clients are encouraged to ensure that the application, interview, and hiring process happens as quickly as possible by utilizing an online platform. Tom then asks how they would alter their training in the future to maintain talent acquisition and retention. Avi replies that fervent data analysis is the answer: they can identify which training techniques work and which ones have stopped working. 
 
Looking Ahead
Tom asks Avi how technological advancements would affect the process of compliance going into 2025. Avi explains that whenever a company implements a new compliance requirement, it is in addition to the previous requirements, which may get confusing. Therefore, you must have systems with processes in place to combat the changing times as efficiently as possible. 
 
Resources
Avi Singer | LinkedIn | Twitter 
showd.me 
 

Categories
Daily Compliance News

May 3, 2022 the Fat Leonard Trial to Resume Edition


In today’s edition of Daily Compliance News:

  • Fat Leonard Trial to resume. (KPBS)
  • Tensions at Google over AI and ethics. (NYT)
  • EU hits Apple on antitrust concerns. (WaPo)
  • Do banks lack basic risk management controls? (Reuters)