In today’s edition of Daily Compliance News:
Does the way you communicate affect whether others trust you?
Much, much more than you realize. In this #jammingwithjason episode I speak with Ann Butera about how to make changes in the way we communicate so we are exhibiting all three behaviors of trust.
You’ll be amazed at how some little things we do every day aren’t communicated to others the way we expected and are actually eroding trust, making it much more difficult for us in our work. No matter how good you think you communicate, we can all do better by incorporating Ann’s wisdom.
Imagine how much easier your life will be when you learn how to say anything to anybody.
#internalaudit #communication
Listen in at: http://www.jasonmefford.com/jammingwithjason/
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Episode 036–Charles Webb
On this episode of The Ethics Experts, Charles Webb joins Gio to discuss antitrust compliance and the Purple Promise at FedEx.
Check out more episodes, and don’t forget to subscribe on your favorite podcast platform!
In the Episode, I visit with Mike DeBernardis, Counsel and Hughes Hubbard. We take a look back at the FCPA world in Q3. It started off with a bang and never slowed down. Some of the highlights include:
- The quarter started off with a bang-Novartis US and never slowed down.
- How and why did Novartis US, First Energy in Ohio and Commonwealth Ed in Illinois change the discussion around domestic corruption?
- What were some of the key lessons from the Herbalife FCPA enforcement action? Why is it so important to obtain experienced White-Collar Counsel in a serious FCPA matter?
- What were top 3 takeaways from the release of the FCPA Resource Guide 2nd edition?
- Sargeant Marine was a rare criminal FCPA plea. What is the significance of the case?
- The Alexion SEC enforcement action in July was relatively small but had some interesting lessons. What were key takeaways from the case?
- Do you see continue aggressive FCPA enforcement by the DOJ/SEC?
- What are you telling clients about their compliance programs going into the next 12 months?
Welcome to a special five-part podcast series, The Six Elements of an Effective Compliance Program. This podcast series is sponsored by StoneTurn. To celebrate Corporate Compliance and Ethics Week, we will consider each of the six elements required for an effective compliance program. They include: Risk Assessment, Governance and Structure, Policies Procedures and Controls, Training and Education, Oversight and Reporting, and Response and Enhancements. Over this five-part podcast series, I will be joined by Stephen Martin and Valerie Charles, Partners at StoneTurn and Toby Ralston and Jamen Tyler, Managing Directors at StoneTurn. In this fifth episode, I visit with Valerie Charles on the twin topics of Oversight and Reporting: The Board’s Role in Compliance and Having a Speak Up Culture and Response and Enhancements: Continually Improving Your Compliance Program. Highlights include:
Oversight and Reporting-the Board’s Role in Compliance and Having a Speak Up Culture
- What is the relationship between whistleblowers/hotlines/internal reporting/Speak Up culture and Internal Investigations?
- 3Rd Parties are still the highest FCPA risk. How and why has Due Diligence become even more important in the era of Covid-19.
- How should a CCO educate the Board on their role within the Compliance framework?
- How does a Board walk that fine line between management and oversight?
- What types of questions should a Board be asking a CCO?
Response and Enhancements- Continually Improving Your Compliance Program
- What are some of the key elements of Third-Party Risk Management?
- In the 2020 Update, the DOJ strongly emphasized not simply oversight but continuous monitoring and continuous improvement. How can a CCO think through continuous monitoring and then using that information to improve a compliance program?
- What are some strategies for Continuous Monitoring?
- The 2020 Update mandated greater use of data by a CCO. Yet even with data, why is the human element so critical in any data-based solution?
- Root cause analysis is now a separate Hallmark of an Effective Compliance Program. How should a CCO use root cause analysis in response and enhancements?
Resources
For more information on StoneTurn, click here.
In today’s episode, we discuss the inherent challenges of operating a company in compliance with U.S. and international sanctions when the lists of sanctioned parties are a moving target.
Join us each week as we take a deep dive into the various forms of fraud across the world and discuss crime families, penny stock boiler rooms, international money launderers, narco-traffickers, oligarchs, dictators, war lords, kleptocrats and more.
Scott Moritz is a leading authority on white-collar crime, anti-corruption, and in the evaluation, design, remediation, implementation, and administration of corporate compliance programs, codes of conduct. He is also considered an authority in the establishment, training, and oversight of the investigative protocols carried out by financial intelligence, corporate security, and internal audit units.
Welcome to a special five-part podcast series, The Six Elements of an Effective Compliance Program. This podcast series is sponsored by StoneTurn. To celebrate Corporate Compliance and Ethics Week, we will consider each of the six elements required for an effective compliance program. They include: Risk Assessment, Governance and Structure, Policies Procedures and Controls, Training and Education, Oversight and Reporting, and Response and Enhancements. Over this five-part podcast series, I will be joined by Stephen Martin and Valerie Charles, Partners at StoneTurn and Toby Ralston and Jamen Tyler, Managing Directors at StoneTurn. In this fourth episode, I visit with Jamen Tyler on effectively getting your compliance messaging out. Highlights include:
- In the Work From Home era how can you determine the effectiveness of your compliance training and communications?
- In the 2020 Update, the DOJ for the first time discussed short training and communications, focusing on one issue messaging. What are some of the trends you are seeing in such micro-learning? What about other types of training?
- In terms of compliance training frequency and cadence, what are you seeing as current best practices?
- What are the advantages of compliance ambassadors across a multi-national organization? Can they be outside the compliance dept?
Resources
For more information on StoneTurn, click here.
In this episode, I visit with Margaret Johnson, the author of the book from From SOS to WOW. This book can help you to move your leadership skills to a new level through by helping you bust through assumptions, unleash your creative ideas and take courageous action to finally make the move to where you really want to be personally or professionally. Johnson is a long-time business leadership coach who shares some of the techniques she uses to help folks achieve greater results in business and in life.
We discuss her growing up and college years in Michigan why she got to Texas as quickly as you could. She details her professional career in the energy and power industries and how that work prepare you for your current career. She then talks about what led her to write her book and how it can be used by a person to help achieve personal and professional goals.
You can find the book on Amazon.com by clicking here.
You can find out more about Margaret Johnson by checking out her website, ideasandbeyond.com.