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This Week in FCPA

Episode 201– the Farewell to Brian Dennehy edition


As Emperor Trump says that only he can decide when the country will re-open for business and Congress can adjourn and the lads note the passing of Brian Dennehy, self-distancing Tom and Jay are back to consider some of the top compliance articles and stories which caught their eye this week.

  1. Former Goldman exec charged with FCPA violations. Harry Cassin breaks the story in the FCPA Blog. Matt Kelly says Goldman Sachs got a great outcome, in Radical Compliance.
  2. How beliefs impact mindset. Jaclyn Jaeger reviews both angles in Compliance Week.
  3. What will happen to ‘Made in China”? Dick Cassin explores in the FCPA Blog.
  4. What steps can be taken to fight corruption in the response to Coronavirus. Sarah Steingrüber in theGlobal Anti-Corruption Blog.
  5. What FCPA landmines are lurking beneath COVID-19? Scott Roybal in National Law Review.
  6. Does the Coronavirus health crisis hobble monitors? Mengqi Sun in the WSJ Risk and Compliance Journal.
  7. BAT under investigation for export control violation. Mengqi Sun in the WSJ Risk and Compliance Journal.
  8. What might a national US privacy law look like? Logan Finucan in CCI.
  9. What do scam PACs and Coronavirus have in common? Sara Kropf explores on Grand Jury Target.
  10. On Compliance and Coronavirus this week: Abikoff and Huneke on why neither enforcement nor compliance ever sleep; Ryan Wilkins on corp governance issues during COVID-19; Tricia Cornell on why new and different time horizons during the coronavirus crisis.
  11. The Everything Compliance gang is back with a look at compliance and coronavirus. Check it out on iTunes
  12. On the Compliance Podcast Network, Tom concludes a month of looking at the role of innovation in compliance And opens a month of exploring continuous improvement, all on 31 Days to a More Effective Compliance Program. This week saw the following offerings: Monday-the Culture Audit; Tuesday-the Fraud Audit; Wednesday-the Integrity Audit; Thursday-the Mock Audit;  Friday-Monitoring for continuous improvement. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc.

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.

Categories
Daily Compliance News

April 17, 2020-the FOMO lives edition


In today’s edition of Daily Compliance News:

  • FOMO survives coronavirus. (NYT)
  • Boeing to restart production in Washington state. (WSJ)
  • Thousands of OSHA complaints filed over COVID-19 (WaPo)
  • Coronavirus brings new compliance risks. (WSJ)
Categories
The Affiliated Monitors Expert Podcast

Using Monitors to Limit Adverse Consequences


In this five-part podcast series, I take a deep dive into healthcare monitoring and how the pro-active use of a healthcare monitor can positively impact all stakeholders in the healthcare industry: the regulators, the healthcare industry and the consumers of healthcare services, the public. I am joined in this exploration with two individuals from Affiliated Monitors, Inc. (AMI), the sponsor of this series,  Catherine A. Keyes, Vice President of Operations, and Jesse Caplan, Managing Director of Corporate Oversight. In this age of the Coronavirus health crisis and the Trump Administration’s bailout package, these issues are even more important. In this final episode, I visit Jesse Caplan on using independent integrity assessment and monitoring to limit adverse consequences.

Categories
The Affiliated Monitors Expert Podcast

Using Monitors in Administrative Proceedings


In this five-part podcast series, I take a deep dive into healthcare monitoring and how the pro-active use of a healthcare monitor can positively impact all stakeholders in the healthcare industry: the regulators, the healthcare industry and the consumers of healthcare services, the public. I am joined in this exploration with two individuals from Affiliated Monitors, Inc. (AMI), the sponsor of this series, Catherine A. Keyes, Vice President of Operations, and Jesse Caplan, Managing Director of Corporate Oversight. In this age of the Coronavirus health crisis and the Trump Administration’s bailout package, these issues are even more important. In this episode, I visit with Catherine Keyes to discuss how an independent integrity monitor can be used in non-disciplinary administrative proceedings.

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The Affiliated Monitors Expert Podcast

Using Monitors in Licensing and Disciplinary Proceeding


In this five-part podcast series, I take a deep dive into healthcare monitoring and how the pro-active use of a healthcare monitor can positively impact all stakeholders in the healthcare industry: the regulators, the healthcare industry and the consumers of healthcare services, the public. I am joined in this exploration with two individuals from Affiliated Monitors, Inc. (AMI), the sponsor of this series,  Catherine A. Keyes, Vice President of Operations, and Jesse Caplan, Managing Director of Corporate Oversight. In this age of the Coronavirus health crisis and the Trump Administration’s bailout package, these issues are even more important. In this third episode, I visit with Catherine Keyes to discuss how an independent integrity monitor can be used in healthcare licensing proceedings.

Categories
The Affiliated Monitors Expert Podcast

Proactive Assessments in Healthcare


In this five-part podcast series, I take a deep dive into healthcare monitoring and how the pro-active use of a healthcare monitor can positively impact all stakeholders in the healthcare industry: the regulators, the healthcare industry and the consumers of healthcare services, the public. I am joined in this exploration with two individuals from Affiliated Monitors, Inc. (AMI), the sponsor of this series,  Catherine A. Keyes, Vice President of Operations, and Jesse Caplan, Managing Director of Corporate Oversight. In this age of the Coronavirus health crisis and the Trump Administration’s bailout package, these issues are even more important. In this Episode 2, I visit with Jesse Caplan on the significance of proactive assessments in healthcare ethics and compliance program.

Categories
The Affiliated Monitors Expert Podcast

Introduction to Monitoring in Healthcare


In this five-part podcast series, I take a deep dive into healthcare monitoring and how the pro-active use of a healthcare monitor can positively impact all stakeholders in the healthcare industry: the regulators, the healthcare industry and the consumers of healthcare services, the public. I am joined in this exploration with two individuals from Affiliated Monitors, Inc. (AMI), the sponsor of this series,  Catherine A. Keyes, Vice President of Operations, and Jesse Caplan, Managing Director of Corporate Oversight. In this age of the Coronavirus health crisis and the Trump Administration’s bailout package, these issues are even more important. In this first episode, I visit with Jesse Caplan to introduce the use of an independent integrity monitor in the healthcare sector and explain how such a monitor can increase value.

Categories
31 Days to More Effective Compliance Programs

The mock audit


A program manager in a power plant process group told me about the “mock audit” that his company performs in its power plants across the country. He explained that his industry is heavily regulated at both the state and federal level. Power plants are subject to numerous levels of oversight including various ISO standards to which they must comply. ISO is the International Organization for Standardization, and it develops and publishes International Standards for various industries and organizations.
The DOJ has continually made clear that compliance audits, with actionable remediation plans, are a key component of any effective compliance program. The concept of the mock audit is one that can facilitate continuous improvement. It is a process designed to help your employees do business in a more compliant manner and it is a tool that should not be overlooked.
Three key takeaways:

  1. Always remember compliance folks and the business folks wear the same color shirt.
  2. Review your findings with the group being assessed.
  3. Use the mock audit to both learn and educate.
Categories
ComplianceLIVE

Episode 17: A Conflict of Interest-Compliance Officer Whistleblowing


 

Amanda welcomes back Call Center Supervisor Angela Earnhardt to discuss the potential conflict of interest for compliance officers who turn into whistleblowers. Also, paleontologists and teacher-unicorns.

Check out more episodes and full episode videos at ComplianceLine.com, and don’t forget to subscribe on your favorite podcast platform!

Categories
Compliance and Coronavirus

Tricia Cornell on Effective Compliance Training During the Coronavirus Crisis


Welcome to the newest addition to the Compliance Podcast Network, Compliance and Coronavirus. As the Voice of Compliance, I wanted to start a podcast which will help to bring both clarity and sanity to the compliance practitioner and compliance profession during this worldwide health and healthcare crisis. In this episode, I am joined by Tricia Cornell, Managing Director of Creativity at ReThink Compliance. We discuss how a compliance professional must readjust their time horizons in the time of the coronavirus health crisis and reconsider what will be effective training going forward.
Check out the ReThink Compliance website here.
This podcast is sponsored by SAI Global. To learn how you can protect your business operations and workforce during these uncertain times, visit saiglobal.com/risk for free resources, expert guidance, and industry-leading technology.