Tag: Compliance Week 2019

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Creativity and Compliance

Compliance Week, Part 1-Introduction

Where does creativity fit into compliance? In more places than you think. Problem-solving, accountability, communication, and connection – they all take creativity. Join Tom Fox and Ronnie Feldman on Creativity and Compliance, part of the Compliance Podcast Network. With this episode Ronnie and Tom begin a five-part series on creative ideas you can use during the 2019 Compliance Week.
In this Part 1, we discuss what we will communicate in the series. In our first Siskel and Ebert Point/Counter-Point, Ronnie comes in smoking on what he thinks about Compliance Week and Tom has a more lawyerly, measured approach.  Tom and Ronnie both agree that Compliance Week initiatives should only be seen as a starting point and must be followed up throughout the year.
Some of the ideas include:

  • You should promote your compliance program and its resources.
  • Endeavor to be welcoming and positive and approachable.
  • Demonstrate how compliance integrates and embeds into the business.
  • Any initiatives you begin must be followed up throughout the year.

Resources:
Ronnie Feldman (LinkedIn)
Learnings & Entertainments (LinkedIn)
Ronnie Feldman (Twitter)
Learnings & Entertainments (Website)
60-Second Communication & Awareness Shorts – A variety of short, customizable, quick-hitter “commercials” including songs & jingles, video shorts, newsletter graphics & Gifs, and more. Promote integrity, compliance, the Code, the helpline and the E&C team as helpful advisors and coaches.
Workplace Tonight Show! Micro-learning – a library of 1-10-minute trainings and communications wrapped in the style of a late-night variety show, that explains corporate risk topics and why employees should care.
Custom Live & Digital Programing – We’ll develop programming that fits your culture and balances the seriousness of the subject matter with a more engaging delivery.

Categories
This Week in FCPA

This Week in FCPA-Episode 157 – We’re on iTunes edition

As the enjoy the Astros continue their decimation of their AL West opponents and the lads celebrate finally getting their own iTunes show, they return to discuss both events some of this week’s top compliance and ethics stories which caught their collective eyes.
1.    Complexity and compliance, how do you deal with this in your compliance program?
2.    The SEC gives two whistleblowers a premium for reporting internally before disclosing to regulators.
3.    Wither CITGO? Tom predicts things will go downhill quickly in a FCPA kind of way.The next day the government announces a subpoena to CITGO for potential FCPA violations.
4.     The Malaysian Anti-Corruption Commission on extending the commitment of management to do business in compliance and ethically.
5.     Managing Anticorruption Compliance Under the EU’s General Data Protection Regulation. An article by Ruta Mrazauskaite.
6.     Is Exxon evil? Jaclyn Jaeger thinks so and explains why in an Op-Ed.
7.    Mike Volvok follows his 3-part series on auditing your investigative protocol with a 4-part series on a sanctions compliance program.
8.    Why is compliance is critical in the daily changing Trump trade wars against everyone. Paul Ziobro reports on FedEx.
9.    Why a ‘necessary evil’ does not constitute effective compliance. Mary Bennett explains.
10. ESG Screening Underscores Challenges in Third-Party Risk Management. Brian Alster considers.
11. This week Tom had a special 5-part podcast series sponsored by AMI on the new Justice 2019 Guidance featuring Eric Feldman. Check out the following: Part 1-Introduction;Part 2-Well-designed;Part 3– Effectively Implemented; Part 4-Working in Practice; Part 5-Final Thoughts.  The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone,YouTube,  Spotifyand Corporate Compliance Insights. The Compliance Podcast Networkjoins C-Suite Radio.
12.  Join Tom in Boston for his industry leading Compliance Master Class on June 11 & 12. Listeners who attend will receive a complimentary copy of The Compliance Handbook. Registration and Information is here. Join Tom, Eric Feldman, Vin DiCianni and Jay at the AMI Roundtable in Boston on June 13 for a deep dive into the DOJ’s new Evaluation of Corporate Compliance Programs-2019 Guidance. Information and registration is here.
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
FCPA Compliance Report

Bonus Episode-Compliance Week 2019 Wrap Up

In this special bonus podcast, I am joined by the co-hosts of Great Women in Compliance, Lisa Fine and Mary Shirley as well as Amii Bernard-Bahn. We all participated in the recently concluded Compliance Week 2019 and we sat down to provide some of our reflections on the conference. This podcast cross-posts on Great Women in Compliance. The episode is sponsored by Corporate Compliance Insights.  Some of the highlights include:
Lisa Fine– the Key Note Presentation by Preet Bharara. Some of the highlights for Lisa were:

  • Doing the right thing can often be the most expedient thing as well.
  • The problems when you go right up to the ethical line.
  • His career advice regarding learning the business side of things.

Mary Shirley– the presentation by Lisa Beth Lentini, Subhashis Nath and Robert Appleton on the behavioral science behind corporate compliance. Some of the highlights for Mary were:

  • The benefits of metrics in a best practices compliance program.
  • Her surprise when the audience was polled that fewer than one-half in attendance are currently using data analytics in their corporate compliance programs.
  • Data science will be a key component of compliance officers in a very short time.

Amii Bernard-Bahn-the reaction to and participation of the audience in two sessions Amii led on careers in corporate compliance. Some of the highlights for Amii included:

  • Compliance professionals are now thinking of their careers 3-5 years down the road.
  • CCOs are actively considering Board roles as a part of their compliance careers.
  • What are some of the business leadership skills a compliance professional needs to move to non-compliance roles in the C-Suite.

Tom Fox-the Key Note address by Hui Chen on where compliance has been, where it is now and where it is going in the 2020’s and beyond. Some of the highlights for myself were:

  • A review of the five decades of compliance.
  • The current challenges for the compliance professional.
  • Where is compliance and ethics headed into next decade.

For additional reading on Compliance Week 2019 see the following blog posts:
On the Importance of Compliance Programs
Three Compliance Lessons from Preet Bharara
Looking Forward in Compliance With Hui Chen
 Subscribe to the Great Women in Compliancepodcast, co-hosted by Mary Shirley and Lisa Fine.
For more information on this episode’s sponsor—Corporate Compliance Insights, check out their website here.

Categories
Great Women in Compliance

Episode 21-Compliance Week 2019 Wrap Up

In this special bonus podcast, the co-hosts of Great Women in Compliance, Lisa Fine and Mary Shirley are joined by Tom Fox, host of the FCPA Compliance Reportas well as Amii Bernard-Bahn. We all participated in the recently concluded Compliance Week 2019 and we sat down to provide some of our reflections on the conference. This podcast cross-posts on Great Women in Compliance. The episode is sponsored by Corporate Compliance Insights.  Some of the highlights include:
Lisa Fine– the Key Note Presentation by Preet Bharara. Some of the highlights for Lisa were:

  • Doing the right thing can often be the most expedient thing as well.
  • The problems when you go right up to the ethical line.
  • His career advice regarding learning the business side of things.

Mary Shirley– the presentation by Lisa Beth Lentini, Subhashis Nath and Robert Appleton on the behavioral science behind corporate compliance. Some of the highlights for Mary were:

  • The benefits of metrics in a best practices compliance program.
  • Her surprise when the audience was polled that fewer than one-half in attendance are currently using data analytics in their corporate compliance programs.
  • Data science will be a key component of compliance officers in a very short time.

Amii Bernard-Bahn-the reaction to and participation of the audience in two sessions Amii led on careers in corporate compliance. Some of the highlights for Amii included:

  • Compliance professionals are now thinking of their careers 3-5 years down the road.
  • CCOs are actively considering Board roles as a part of their compliance careers.
  • What are some of the business leadership skills a compliance professional needs to move to non-compliance roles in the C-Suite.

Tom Fox-the Key Note address by Hui Chen on where compliance has been, where it is now and where it is going in the 2020’s and beyond. Some of the highlights for Tom were:

  • A review of the five decades of compliance.
  • The current challenges for the compliance professional.
  • Where is compliance and ethics headed into next decade.

For more information on this episode’s sponsor—Corporate Compliance Insights, check out their website here.
Subscribe to the FCPA Compliance Report.