Tag: compliance

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Adventures in Compliance

Adventures in Compliance: The Last Bow Stories – Due Diligence Lessons from The Adventure of The Red Circle

Welcome to a review of all the Sherlock Holmes stories which are collected in the work, “The Last Bow“. It is a collection of eight detective stories written by Sir Arthur Conan Doyle, from 1908 to 1917. The collection spans some of the most intriguing cases and mysteries that Holmes and his loyal friend Dr. John Watson tackle.

Today we take up The Adventure of the Red Circle, which appeared in Strand Magazine in December 1911, as we consider investigative lessons for compliance professionals from The Adventure of the Red Circle.

In this story, we connect the narrative to important compliance lessons such as identifying hidden connections, understanding network dynamics, uncovering deception, building compelling cases for action, recognizing the power of influence, emphasizing collaboration, and the value of critical thinking. He also discusses the historical context of the story and its publication.

Key Highlights:

  • Warren’s Mysterious Lodger
  • Holmes’ Investigation and Discoveries
  • The Red Circle Crime Gang
  • Due Diligence Lessons for Compliance Professionals

Resources:

The New Annotated Sherlock Holmes

Sherlock Holmes FAQ

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For more information on Ethico and a free White Paper on top compliance issues in 2024, click here.

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FCPA Compliance Report

FCPA Compliance Report: Exploring DOJ’s New Whistleblower Incentive Program with Mary Inman

Welcome to the award-winning FCPA Compliance Report, the longest running podcast in compliance. In this edition of the FCPA Compliance Report, Tom Fox welcomes back Mary Inman, Partner at Whistleblower Partners LLC, to discuss the new DOJ Whistleblower Incentive Program.

Tom and Mary discuss the DOJ’s New Whistleblower Incentive Program’s aim to fill gaps in existing reward programs and its focus areas, including financial institution violations, foreign and domestic corruption, and healthcare offenses. Mary highlights some criticisms of the program, such as lack of a reward floor and the cap on rewards, and the potential challenges and impacts on corporate compliance. They also talk about the interplay between whistleblowers, DOJ, and corporate investigations, and the potential for adaptation of the program based on stakeholder feedback.

Highlights in this Episode:

  • DOJ Whistleblower Incentive Program Overview
  • Four Focus Areas of the New Program
  • Challenges and Criticisms of the Program
  • Concerns About Reward Mechanisms
  • Race to DOJ: Whistleblowers vs. Corporations
  • Implications for Corporate Compliance

Resources:

Mary Inman on LinkedIn

Whistleblower Partners

Tom Fox

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For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

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Compliance Tip of the Day

Compliance Tip of the Day: Introduction to Communications and Training

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements.

Whether you’re a seasoned compliance professional or just starting your journey, our aim is to provide you with bite-sized, actionable tips to help you stay on top of your compliance game.

Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law.

Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

Today we are taking a look at the role of training and communications in compliance programs.

For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

To check out The Compliance Handbook, 5th edition, click here.

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Trekking Through Compliance

Trekking Through Compliance – Episode 71 – Compliance During a Vaccine Mandate: Lessons from the Mark of Gideon

In this episode of Trekking Through Compliance, we consider the episode The Mark of Gideon, which aired on January 17, 1969, and occurred on Star Date 5423.4

In an attempt to establish diplomatic relations with planet Gideon, Kirk beams down to the sensor-shielded planet using coordinates supplied by Gideon’s ambassador, Hodin. When Kirk materializes, he finds himself still on the transporter pad aboard the Enterprise. To his great surprise, he appears completely alone, and there is no sign of the crew. After noticing a bruise on his arm, Kirk encounters a girl named Odona.

Kirk begins to suspect that something is very wrong. Hodin explains that the germ-free atmosphere and an increasingly long life span on Gideon have created a vast overpopulation problem and hopes to bring it under control by introducing disease. When Kirk then asks Hodin why the people of Gideon have not practiced birth control, Hodin replies that the people of Gideon believe life is sacred, that the love of life is the greatest gift, and that they, therefore, cannot interfere with the creation of life.

By this time, Spock has discovered that the two sets of coordinates he has been provided do not match. After Admiral Fitzgerald refuses to let Spock beam down, Spock disobeys orders and returns to the first set of coordinates. He locates Kirkhe, and Kirk beams up with Odona to the real Enterprise. McCoy heals Odona, and she beamed back to Gideon, where her blood can now serve as the source of vegan choriomeningitis for her people.

Commentary

The episode highlights ethical issues surrounding population control, disease introduction, and individual rights versus the collective good. Through Captain Kirk’s experience and Spock’s defiance to rescue him, the episode also serves as a foundation for discussing real-world compliance challenges, especially in the context of vaccine mandates during a pandemic. The conversation underscores the importance of transparency, informed consent, and balancing public health priorities and individual liberties.

Key Highlights

  • Captain Kirk’s Mysterious Encounter with Gideon
  • Spock’s Investigation and Captain Kirk’s Discovery
  • Spock’s Rescue Mission
  • Compliance Takeaways from The Mark of Gideon

Resources

Excruciatingly Detailed Plot Summary by Eric W. Weisstein

MissionLogPodcast.com

Memory Alpha

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Sunday Book Review

Sunday Book Review: August 11, 2024 Books on Financial Incentives Edition

In the Sunday Book Review, Tom Fox considers books that would interest the compliance professional, the business executive, or anyone who might be curious.

It could be books about business, compliance, history, leadership, current events, or anything else that might interest me.

In today’s edition of the Sunday Book Review, we look at four books on financial incentives in the corporate world.

  • Financial Incentives for Employees by P. Roots
  • The Theory of Incentives by Jean-Jacques Laffont and David Martimort
  • Mixed Signals by Uri Gneezy
  • Gamed by Bernie Smith

For more information on Ethico and a free White Paper on ROI for your compliance program, click here.

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Trekking Through Compliance

Trekking through Compliance – Episode 70 – Battling Unconscious Bias Compliance Lessons from Let That Be Your Last Battlefield

In this episode of Trekking Through Compliance, we consider the episode Let That Be Your Last Battlefield, which aired on January 10, 1969, and occurred on Star Date 5730.0

On its way to decontaminate the planet Arianis, the Enterprise intercepts a shuttlecraft stolen from Starbase 4 together with its pilot. The pilot is an alien with solid white on his right side and solid black on his left. His name is Lokai, and he claims to be a political refugee from Cheron. Shortly after, a spaceship deposits another alien on the Enterprise bridge just before it disintegrates. The new alien identifies himself as Bele, a police officer from Cheron who has been tracking Lokai for over 50,000 years. Bele is black on the right and white on the left and is outraged when Kirk sees no difference in them. Bele considers his coloration superior to Lokai and others “his kind.” Lokai and Bele claim to be in the right, but Kirk stays above the argument, offering to drop them off at a Starbase.

Bele attempts to force the Enterprise to Charon but returns control to Kirk when he threatens to self-destruct the Enterprise. After the Enterprise has decontaminated Arianis, Bele deactivates the destruct mode and forces the Enterprise to Cheron. Here, Bele and Lokai discover that all life there has been destroyed by years of racially motivated fighting. Driven mad by the sight, Lokai and Bele both beam down to the surface, continuing to fight each other until one or both are dead.

Commentary

The episode features the Enterprise encountering two aliens, Loki and Beale, whose half-black, half-white skin serves as a metaphor for racial prejudice. The plot explores themes of racism, hatred, and conflict resolution. Fox reflects on the show’s impact, especially in the context of real-world racism. He extends the discussion to compliance, focusing on strategies to address unconscious bias through training, fair hiring practices, performance management, and data monitoring. This episode highlights the ongoing relevance of Star Trek’s social messages and their application in today’s workplace.

Key Highlights

  • Story Synopsis: Let That Be Your Last Battlefield
  • Fun Facts and Production Insights
  • Reflections on Racism
  • Compliance and Unconscious Bias
  • Strategies for Addressing Unconscious Bias

Resources

Excruciatingly Detailed Plot Summary by Eric W. Weisstein

MissionLogPodcast.com

Memory Alpha

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Trekking Through Compliance

Trekking Through Compliance – Episode 69 – Preventing Trauma in the Workplace: Mental Health Lessons from Whom Gods Destroy

In this episode of Trekking Through Compliance, we consider the episode Whom Gods Destroy, which aired on January 3, 1969, and occurred on Star Date 5718.3

Kirk and Spock are on a medical mission to deliver sanity-saving drugs to an institute for the incorrigibly criminally insane. An inmate is a former commander. He is also a homicidal master strategist. As a former Starship commander, he takes over the asylum and then turns his attention to taking over the Enterprise. Can Kirk and Spock defeat him? How can they beat him?

Commentary

The narrative centers on Kirk and Spock delivering revolutionary medicine to an insane asylum on Elba II. The episode delves into themes of madness and identity as Kirk and Spock confront Garth of Izar, a former Starfleet Captain who can change his form. In addition to a thorough plot summary, Fox discusses compliance strategies for addressing mental health in the workplace, emphasizing the importance of a mental health-informed environment, flexible policies, and comprehensive leadership training.

Key Highlights

  • Story Synopsis of ‘Whom Gods Destroy’
  • Fun Facts and Behind the Scenes
  • Mental Health and Compliance Insights
  • Strategies for Supporting Mental Health in the Workplace

Resources

Excruciatingly Detailed Plot Summary by Eric W. Weisstein

MissionLogPodcast.com

Memory Alpha

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Compliance Tip of the Day

Compliance Tip of the Day: Employee Trust

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements.

Whether you’re a seasoned compliance professional or just starting your journey, our aim is to provide you with bite-sized, actionable tips to help you stay on top of your compliance game.

Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law.

Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

In this episode, we consider how you can work to regain employee trust in the era of remote work and RTO.

For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

To check out The Compliance Handbook, 5th edition, click here.

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Creativity and Compliance

Creativity and Compliance: Pattern Disruption in Compliance Training

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 award-winning Compliance Podcast Network.

Ronnie’s company, Learnings and Entertainment, utilizes the entertainment devices that people use to consume information in their everyday, non-work lives, and apply it to important topics around compliance and ethics. It is not only about being funny. It is about changing the tone of your compliance communications and messaging to make your compliance program, policies and resources more accessible.

In this episode of Creativity and Compliance, hosts Tom Fox and Ronnie Feldman discuss the concept of pattern disruption in compliance.

Tom and Ronnie explore how pattern disruption can grab attention, break typical habits, and engage employees in compliance training and communication. They emphasize the importance of consistency of messaging but variety in delivery mechanisms to keep employees engaged. They provide examples of pattern disruption techniques, such as changing the name of the compliance department, using fun questions at the beginning of training, and incorporating creative devices like songs, jingles, and fake commercials. The episode concludes with the importance of standing out and making an emotional connection to enhance engagement and recall.

Key Highlights:

  • Pattern disruption grabs attention and breaks typical habits
  • Variety in delivery mechanisms is necessary to keep employees engaged
  • Examples of Pattern Disruption Techniques
  • Standing Out and Making an Emotional Connection

 Resources:

Ronnie

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For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

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Principled Podcast

Principled Podcast: S11E10 | Unlocking the Secrets to Empowering Leaders to Champion Ethics and Compliance in Organizations

In this episode of the Principled Podcast, join Amy Hanan, LRN’s Chief Marketing Office, and Lance King, Head of Group Compliance at Virgin Media O2, as they examine how organizations can empower leaders to champion ethics and compliance, discussing what it takes to build high performing compliance teams, manage regulatory risks, and how to develop effective relationships from shop floor to the C-Suite.

Guest: Lance King

Episode Cover - Lance King - Season 11 Episode 10

Lance King is the Head of Compliance at Virgin Media O2, bringing over 25 years of leadership experience in financial services. His career has spanned P&L responsibilities in frontline retail banking and media store teams, culminating in his current position where he leads the compliance function for one of the largest media companies in the UK. Lance is an inspirational leader known for delivering transformational change and excels in developing innovative regulatory solutions, forging effective relationships, and leading diverse teams to support company strategy and executive leadership obligations.

Host: Amy Hanan

Principled Podcast - Season 11 Episode 8 - - Amy Hanan

Amy Hanan is the chief marketing officer at LRN. Amy, a B2B digital marketing leader, has a nearly 20-year track record in product, brand, lifecycle, and demand-generation marketing and corporate communications for media, professional services, and technology companies. One of her central areas of expertise is executing tech-enabled marketing initiatives for growth. Before joining LRN, Amy was the chief digital officer at Baretz+Brunelle, a marketing and communications agency serving the legal and financial services industries. Her previous experience includes Reorg Research, ALM Media, and The Associated Press. She holds a Bachelor of Arts degree from Northern Arizona University.

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