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Caremark Claims, Part 2

by Admin | Jul 14, 2022

Welcome to The Woody Report, where Washington & Lee School of Law Associate Professor Karen Woody and host Tom Fox discuss issues on white collar crime, compliance issues, international corruption, securities and accounting fraud, and internal corporate…

July 14, 2022 the Bob, Dodge and Weave edition

by Admin | Jul 14, 2022 In today’s edition of Daily Compliance News: Snyder continues to dodge the Congressional subpoena. (WSJ) Yet more corruption in Iran (are you surprised?) (WaPo) SEC wins gag order ruling, maybe. (Reuters) What’s $79bn among execs? (BBC)

CCO Skills at Mid-Century: Part 2 – Social Skills Going Forward

by Admin | Jul 14, 2022 I am looking at what skills will be needed for the mid-century Chief Compliance Officer (CCO). Moving into the CCO chair today is far beyond compliance expertise and legal knowledge. In Part 1 of this two-part series, I reviewed the soft skills most current CCOs have….

Mirror Mirror

by Admin | Jul 13, 2022 In this episode of Trekking Through Compliance, we consider the episode Mirror Mirror, which aired on October 6, 1967, Star Date unknown. During transport in an ion storm, the Away Team is transported into a parallel universe and a mirror image of Enterprise. There…

Sustain Your Game with Alan Stein Jr.

by Admin | Jul 13, 2022 What do Kobe Bryant, LeBron James, Kevin Durant, and Steph Curry have in common? Besides being world-class professional basketball players, they have also had the same performance coach, our guest on the #podcast Alan Stein Jr. While these men may be peak performers…

Luckenbach Legacy: The Art of Becky Crouch Patterson

by Admin | Jul 13, 2022 Welcome to the award-winning The Hill Country Podcast. The Texas Hill Country is one of the most beautiful places on earth. In this podcast, Hill Country resident Tom Fox visits the people and organizations that make this the most unique areas of Texas. Join Tom as he…

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Da Vinci Week: Part 2 – Leonardo’s Anatomical Studies and Getting Beneath the Surface

September 22, 2026September 22, 2026 | Blog

In the first post in our Leonardo Compliance Framework, the Mona Lisa introduced Refine: the discipline of continuous improvement. An effective compliance program should learn from investigations, monitoring, risk assessments, employee feedback, control failures,…

Da Vinci Week: Part 1 – The Mona Lisa and Continuous Improvement

September 21, 2026September 21, 2026 | Blog

I recently wrote a five-part blog series on compliance through Michelangelo’s lens. In our Michelangelo Compliance Framework, we used five extraordinary projects to explore five disciplines of the modern compliance…

When an Effective CCO Is Labeled Difficult

September 17, 2026September 17, 2026 | Blog

A business leader calls a Chief Compliance Officer (CCO) difficult after a proposed distributor fails to provide basic ownership information. The transaction is important to the quarter. The CCO has…

Does Your Board Have the Expertise and Independence to Oversee Compliance

September 16, 2026September 16, 2026 | Blog

A board can have impressive credentials and still lack the experience needed to challenge management on the company’s most significant compliance risks. Directors may understand finance, strategy, and operations in…

Setting the Right Ambition for Your Compliance Strategic Plan

September 15, 2026September 15, 2026 | Blog

A compliance strategic plan should explain how the function will build the capabilities the business needs to manage its risks. That requires choices about priorities, resources, authority, and execution. A…

When Employees Rationalize Misconduct: What CCOs Need to Change

September 14, 2026September 14, 2026 | Blog

A sales manager needs one more transaction to meet the quarterly target. The customer has not completed the required approvals, but the manager believes the paperwork will arrive tomorrow. Booking…

The NBA/Clippers Investigation: Part 5 – Lessons for CCOs and Boards

September 11, 2026September 11, 2026 | Blog

The ultimate measure of a compliance program is whether it can constrain the people the organization believes it cannot afford to disappoint. Most compliance programs are designed for ordinary decisions…

The Clippers Investigation: Part 4 – Consequence Management at the Top

September 10, 2026September 10, 2026 | Blog

The Clippers penalties demonstrate that discipline is not the end of a compliance process. They are a public test of whether rules apply to powerful people. The Clippers investigation demonstrates…

The NBA/Clippers Investigation: Part 3 – Paper Compliance Is Not an Internal Control: Substance, Procurement, and the Audit Trail

September 9, 2026September 9, 2026 | Blog

The Clippers investigation shows why contracts, approvals, and carefully drafted emails cannot substitute for controls that test economic reality. In Part 3 of a five-part series, we explore why and…

The NBA/Clippers Investigation: Part 2 – Conflicts in the Commercial Ecosystem

September 8, 2026September 8, 2026 | Blog

The Clippers investigation demonstrates why conflict controls must follow influence, economic benefit, and interconnected transactions, not merely financial ownership. In Part 2 of this five-part series, we consider what conflicts…

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