Tag: COVID-19

Categories
Everything Compliance - Shout Outs and Rants

Episode 114 – Shout Outs and Rants

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. Everything Compliance has been honored by W3 as the top podcast talk show. In this episode, we have the quartet of Tom Fox, Jonathan Marks, Matt Kelly, and special guest Scott Garland from Affiliated Monitors for our fan fav Shout Outs and Rants edition.

  1. Matt Kelly has a dual rant. He shouts out to the PCAOB for reminding folks that cryptocurrency ‘reserve reports’ are not worth the paper they are printed on. He rants about crypto being a big circular whackadoo.
  2. Jonathan Marks shouts out to the US House of Representatives for overwhelmingly voting to investigate the origins of Covid-19.
  3. Tom Fox looks rants about the Tennessee legislature’s attempt to ban Shakespeare, movies such as Tootie and Some Like It Hot, and politicians such as George Santos, all in the guise of banning drag shows.
  4. Special Guest Scott Garland shouts out to the Department of Justice for their continued evolution in their thinking about compliance and compliance programs.
Categories
Compliance Into the Weeds

Mental Health and Compliance Officers

The award-winning, Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore a subject. This episode considers the very prescient topic of mental health and compliance officers. There is a mental health crisis in the U.S. workforce today, which also applies to compliance officers. Matt recently moderated a webinar hosted by Ethico on how mental health issues can affect corporate culture and compliance officers. The panelists included Paul Liebman, head of compliance at Harvard University; Sarah Ross, a former compliance officer at Novartis who now runs a consulting business on burnout, depression, and related issues; and Nick Gallo, co-CEO at Ethico.

Some of the highlights included:

  • How the Covid-19 pandemic accelerated the issues of mental health for all workers.
  • We had some great suggestions from the panelists and webinar participants.
  • Understanding the difference between mental health and mental illness is critical.
  • Consider how your company could weave mental health awareness into training, especially manager training.
  • Define boundaries between work and personal life.
  • Finding a friend in your field can be a critical mental health safety check. If you feel like you have someone to speak to about stress, you’re more likely to understand and confront that stress. True for compliance officers and other employees alike.
  • There is a strong connection between mental health and a speak-up culture generally. If employees feel afraid to speak up about feeling stressed or overworked, would they be equally reluctant to speak up about misconduct?

 Resources

Matt Kelly in Radical Compliance

Categories
Daily Compliance News

November 27, 2021 the Death of a Titan edition


In today’s edition of Daily Compliance News:

  • Legal challenges muddy mandate waters. (WSJ)
  • Stephen Sondheim dies. (Bloomberg)
  • Meet Omicron. (WSJ)
  • Risk management for supply chain. (WSJ)
Categories
Compliance Into the Weeds

Delta Airlines Responds to the Delta Variant

Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. This week Matt and Tom take a deep dive the recent move by Delta Airlines to require employees who refuse to be vaccinated to pay a special health care insurance surcharge of $200 to cover the increased health care costs associated with unvaccinated employees who contract Covid-19.

Some of the issues we consider are:

·      What were the underlying facts?
·      How did Delta Airline’s actions follow a risk management protocol?
·      How did Delta’s actions demonstrate a commitment to compliance?
·      How about the data?

·      How about Document Document Document? 

Resources

Matt in Radical Compliance

Delta’s Smart Approach on Delta

Categories
Greetings and Felicitations

Dr. Ben Locwin on the Current State of the Covid-19 Pandemic


Welcome to newest edition to the Compliance Podcast Network: Greetings and Felicitations, a podcast where Tom Fox visits with a wide variety of guests on a wide variety of topics. In today’s inaugural episode I visit with Compliance Podcast Network fan favorite Dr. Ben Locwin. We take a deep dive into where we are in the Covid 19 pandemic, what may be down the road and how the global vaccination response has worked to slow down this global pandemic.

Categories
Daily Compliance News

December 29, 2020-Vaccines and Bank Fraud edition


In today’s edition of Daily Compliance News:

  • Do tariffs increase corruption? (WSJ)
  • How will that merger work out? (WSJ)
  • Will Covid-19 lead to bank fraud? (WSJ)
  • Trump Administration appeals order on TikTok. (CNN.com)
Categories
The Compliance Life

Katie Smith on lessons from Covid-19 going forward


The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Katie Smith who is the Vice President for Ethics at Assurance.  She previously served as Assistant Vice President and Chief Ethics Officer for USAA and Executive Vice President and Chief Compliance and Ethics Officer at Convercent.
Katie is passionate about compliance, having worked in the field for 20 years, building high-performing teams and increasing employee engagement by up to 300%. She has proven expertise in building and promoting talent, creating a trust-based culture, anti-corruption, code of conduct, conflict of interest, marketing internal programs, training and awareness, investigation excellence, data privacy and process efficiency. She is a much sought after public speaker and contributor featured in Wall Street Journal, Time, Fortune, NBC and Compliance Week. Katie’s commitment to the compliance profession is well as she currently sits on the Board of Directors of the Ethics and Compliance Initiative (ECI).
In this fourth and final episode, Katie discusses lessons for the compliance professional from the Coronavirus health crisis. We take a look at the role of the CCO after Coid-19 and whether there is an opportunity for you to refocus your compliance program. We conclude with a look at where the compliance professional and compliance profession might in in 2025 and beyond.

Categories
Daily Compliance News

November 20, 2020-Vegas Here We Come edition


In today’s edition of Daily Compliance News:

  • Tyson Mgrs bet on which employees would get Covid? (WSJ)
  • Is The Ringer anti-union? (NYT)
  • Mnuchin moves to tank the economy. (WaPo)
  • Algorithms to return to work? (BBC)
Categories
Compliance and Coronavirus

Mikhail Reider-Gordon on Compliance During Business Reopening During Covid-19


Welcome to the newest addition to the Compliance Podcast Network, Compliance and Coronavirus. In this episode, I visit with Mikhail Reider-Gordon who is Managing Director of Institutional Ethics and Integrity at AMI. In this role, she oversees the company’s corporate monitoring programs across a spectrum of industries. We discuss the compliance challenges in business reopenings (and perhaps closings) in the summer of 2020 and through the rest of the year.
Some of the highlights include:

  • What are some of the key issues in business reopenings during Covid-19?
  • What will continue for compliance during the summer of 2020 and through the rest of the year?
  • Why is oversight even more important during Covid-19?

For me information check out the Affiliated Monitors website here.

Categories
This Week in FCPA

Episode 210 – the Bostock edition


As Trump has trouble drinking a glass of water and walking (Note-not at the same time), Covid-19 cases spike, the US Supreme Court hands down a landmark decision on protections for the LGBTQ community in the workplace, self-distancing Tom and Jay are back to consider some of the top compliance articles and stories over the past week.

  1.  Mike Volkov takes the chickens out to roost in a 3-part series on the DOJ Antitrust Division charges of price-fixing and bid-rigging conspiracy. In Corruption Crime & Compliance. Jon Rausch weighs in on Dipping Through Geometries.
  2. How will WFH change business? Alison Taylor opines on the World Economic Forum
  3. What are the three ‘R’s’ of a speak up culture? Lloydette Bai-Marrow on the FCPA Blog.
  4. GOP stymies data privacy/data protection legislation yet again. Dave Uberti reports in the WSJ.
  5. It’s your culture stupid. Jim Nortz in CCI.
  6. How is Covid-19 changing internal audit. Matt Kelly explores in Radical Compliance.
  7. Viva La France. Dylan Tokar reports in the WSK Risk and Compliance Journal.
  8. Making sure compliance is not marginalized during financial dislocation. A plethora of authors contribute on NYU’s Compliance and Enforcement Blog.
  9. The ethical upside to WFH. In the Center for Ethical Leadership
  10. Interested in moving to the CCO chair? Check out my latest podcast series The Compliance Lifewhere I interview one CCO type for a month on their journey to the CCO chair and beyond. In on this month’s edition I visit with Ryan Rabalais. In this Part 3, he details some of key skills of a CCO. The Compliance Life is now available on iTunes.
  11. On Compliance and Coronavirus this week,: Scott Price on cyber security risks going forward; Gabe Gumbs data privacy and data protection during the economic dislocation and Covid-19; David McLaughlin joins me to discuss increasing automation to enhance compliance. Compliance and Coronavirus is available on iTunes here.
  12. On the Compliance Podcast Network, this month topic: internal reporting and investigations; all on 31 Days to a More Effective Compliance Program. This week’s offerings: Monday-The Investigative Team; Tuesday-investigative challenges; Wednesday-the witness interview; Thursday– issues in cross-border investigations; Friday– who and when to suspend. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel.
  13. How does the Hundred Acre Wood inform compliance? Check out Tom’s 5-part blog post series on the FCPA Compliance and Ethics Blog. Monday-Tigger and Sales; Tuesday-Kanga, Roo & Ombudsman; Wednesday-Eeyore and corp legal; Thursday-Piglet and Finance; Friday-Winnie the Pooh as CECO.

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.