Tag: compliance

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Compliance Into the Weeds

Compliance into the Weeds-Episode 14, Wells Fargo and the Fraud Triangle

Fitting the Fraud Triangle to Wells Fargo
For more on the Wells Fargo, compliance and ethics disaster, see the following:

  1. What is Risk?
  2. Tones at the Top; and
  3. Wells Knew all Along.

[tweet_box design=”default” url=”http://wp.me/p6DnMo-2LH” float=”none”]Learn how the fraud triangle works for a the Wells Fargo and a variety of other corporate scandals.[/tweet_box]]]>

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This Week in FCPA

This Week in FCPA-Episode 21

  • Star Trek and its influence on compliance, click here;
  • SEC Press Release on whistleblower bounty payments;
  • Cisco Systems received declinations from SEC & DOJ, as reported in the FCPA Blog;
  • WSJ article Out of the SEC, Into the Whistleblower Industrial Complex
  • NYT article Whistle-Blowing Insiders: ‘Game Changer’ for the S.E.C.
  • GHBER registration for Sept. 15 panel on new ways to integrate the compliance function with the business while continuing to provide robust protection to the organization, click here.
  • Red Flag Group registration for webinar on Gathering materials from your suppliers to better understand their business practices, click here.

    • [tweet_box design=”default” url=”http://wp.me/p6DnMo-2Kv” float=”none”]The top review of the week’s FCPA compliance and ethics. This Week in FCPA.[/tweet_box]]]>

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    Uncategorized

    FCPA Compliance and Ethics Report-Episode 272 Miller & Chevalier 2016 Latin America Survey

    here. [tweet_box design=”default” url=”http://wp.me/p6DnMo-2H2″ float=”none”]The Miller 2016 Latin American Corruption Survey provides key insights for the compliance practitioner.[/tweet_box]]]>

    Categories
    Compliance Into the Weeds

    Compliance into the Weeds-Episode 9 COSO ERM Framework

    Draft ERM Framework is Here! Get Started
    Go to Norman Marks’ blog post, We need to review and provide feedback on the COSO ERM Exposure Draft
    [tweet_box design=”default” url=”http://wp.me/p6DnMo-2CB” float=”none”]How the COSO ERM Framework will change corporate governance[/tweet_box]]]>

    Categories
    Compliance Into the Weeds

    Compliance into the Weeds-Episode 8, big data, risk assessments, the compliance profession and implications from the Yates Memo

    Categories
    Trekking Through Compliance

    Trekking Through Compliance: Episode 63 – For the World is Hollow and I Have Touched the Sky

     

    In this episode of Trekking Through Compliance, we consider the episode   For the World is Hollow and I Have Touched the Sky which aired on November 1, 1968, Star Date Unknown.

    McCoy calls Kirk to sickbay and informs him that the ship’s Chief Medical Officer (himself) has contracted an incurable fatal disease called xenopolycythemia and has only one year to live. However, McCoy assures Kirk that he will still be able to do his job until the end.

    Suddenly, the Enterprise is attacked and diverts and determines their point of origin, an asteroid 200 km in diameter, which is actually a nuclear-powered spaceship on a collision course with planet Daran V. The inhabitants do not know that they are on a spaceship, except for one old man who had climbed a mountain when he was young and intones “For the world is hollow and I have touched the sky.” After uttering this, the oracle punishes the old man with death by means of a subcutaneous “instrument of obedience.”

    They are able to put the ship back on course. They also discover databanks of the Fabrini containing a great deal of medical knowledge, including the cure for McCoy’s xenopolycythemia.

    Compliance Takeaways:

    1.     How do you manage?

    2.     Executives having skin in compliance.

    3.     As a compliance professional, do you have empathy?

    Resources

    Excruciatingly Detailed Plot Summary by Eric W. Weisstein

    MissionLogPodcast.com

    Memory Alpha