In this episode of the FCPA Compliance Report I visit with Gordon Graham. Gordon is a successful whistleblower who told his tale in the book The Intrepid Brotherhood. In this book, Graham discusses how corruption threatened to ruin jobs and harm lives. The leadership at the top of the organization used intimidation, distrust, and secrecy to control the Chelan County Public Utility District showing that control and power can corrupt even the most ethical organization’s integrity—unless someone speaks up. Which Gordon Graham did. In this podcast, he tells his story.
Resources
website: www.intrepidbrotherhood.com
LinkedIn: linkedin.com/in/gordon-graham-57385319a
Facebook Author Page: In Search Of Aristotle | Facebook
Tag: ethical leadership
Today’s episode was inspired by the Notre Dame Deloitte Center for Ethical Leadership and its Faculty Fellows who recently put together their annual list of Best Books for Ethical Leaders. In it, they share books published during the 2021 “that bridge the worlds of business and academia and provide practical insights that can help leaders live and work more ethically.” In this second of two episodes of the Sunday Book Review, I conclude my exploration of their list.
· There is Nothing for you Here: Finding Opportunity in the Twenty-First Century by Fiona Hill, selected by Jessica McManus Warnell.
· Chatter: The Voice in Our Head, Why It Matters, and How to Harness It by Ethan Kross, selected by Christopher Adkins.
· Think Again: The Power of Knowing What You Don’t Know by Adam Grant, selected by John Sikorski.
· Our Team: The Epic Story of Four Men and the World Series That Changed Baseball by Luke Epplin, selected by Brian Levey.
· Wanting: The Power of Mimetic Desire in Everyday Life by Luke Burgis, selected by Brett Beasley.
Super Sunday is here. The NFL finally gets the game in the spotlight after weeks of brutal PR. Who ya got? “Who Dey” or Hollywood? Tom and Jay are back look at some of the week’s top compliance and ethics stories this week in the Super Sunday edition.
Stories
1. Do compliance professionals need a union? Dick Cassin in the FCPA Blog.
2. Jailed employees under the FCPA. Bill Jacobsen explores in the FCPA Blog.
3. New workplace normal for policies and training. Ingrid Freeden in Risk and Compliance Matters.
4. New SOE risk management framework. Alexandra Gillies and Thomas Shipley in the FCPA Blog.
5. 3 questions from KPMG and Carillion tribunal. Neil Hodge in Compliance Week. (sub req’d)
6. SFO investigation protocol announced. Mengqi Sun in the WSJ Risk and Compliance Journal.
7. Companies yet again ask EU for rules around ESG. Lawrence Heim in practicalESG.
8. CCOs say self-reporting a hard sell. Evren Esen in CCI.
9. What comes next for ABC and the Olympics? Andy Spalding in GAB.
10. The Spotify imbroglio. Matt Kelly with a 2-parter in Radical Compliance, Part 1 and Part 2.
Podcasts and More
11. In February on The Compliance Life, I visit with Ellen Smith, a former Director of Trade Compliance who recently started her own consulting firm. In Part 1, she discussed her academic background and early professional career. InPart 2, Ellen moves in-house.
12. Tom and Richard Lummis begin their annual review of Best Picturing winning movies on 12 O’Clock High, a podcast on business leadership. In Part 1 they review Schindler’s List for leadership and ethical lessons. Upcoming episodes will look at Gladiator, A Man for All Seasons and Platoon.
13. CCI releases new e-book from Tom “FCPA 2021 Year in Review”. Available free from CCI.
14. Trial of the Century-the Enron Trial. This week, Tom premiered a 5-part podcast series on the Enron Trial with Loren Steffy, who covered the trial for the Houston Chronicle. In Part 1, run up to the trial. In Part 2, the trial begins. In Part 3, the star witnesses and key testimony. In Part 4, the Verdict comes in. In Part 5, what did it all mean. It is be available on the Compliance Podcast Network, Megaphone, iTunes, Spotify and all other top podcast platforms.
15. In a special 2-part series on the Sunday Book Review, Tom looks at the Notre Dame Deloitte Center for Ethical Leadership’s top books on ethical leadership from 2021. Part 1 and Part 2.
Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.
12 O’Clock High, a podcast on business leadership brings together stories from history, the arts and movies, research and current events to consider leadership lessons. Each year during Oscar season we look at four Best Picture-winning movies and draw leadership lessons from them. It is also a way to watch some great movies. In this episode, Richard Lummis and Tom Fox continue our annual tradition of reviewing Best Picture-winning movies by rewatching and then considering the movie Schindler’s List. Highlights include:
- Movie Storyline
- How did it make you feel?
- Leadership Lessons
- Ethical Lessons
- Servant Leadership
- Final Thoughts on the Banality of Evil
- Shoah and Schindler’s list
Resources
10 Leadership Lessons from Schindler’s List
Oskar Schindler-a Sheep in Wolf’s Clothing
Evaluating Ethics and Leadership in Schindler’s List
Ethics on Film: A Discussion of Schindler’s List
Tom Fox welcomes Joshua Nunziato on this episode of the Innovation in Compliance Podcast. Joshua is an author, and an Instructor in the Social Responsibility and Sustainability division of the Leeds School of Business. He joins Tom to talk about corporate leaders conducting ethical leadership, its role in ESG, and why ethical leadership is a must in the future business world.
Creating Ethical Leadership
Joshua created his Ethical Leadership course for corporate leaders to equip them with the tools and insight they need to understand the changes happening around them. “We really want to help leaders who participate in our program to understand that acceleration is really the new constant,” he tells Tom. Corporate leaders need to be able to respond proactively to changes and crises. The range of stakeholders has expanded, so the traditional approach to corporate director education is no longer going to work. Directors and corporate leaders need forward-looking tools to navigate their current environment.
The Relevance of Ethical Leadership in 2022
Tom asks Joshua to explain why a course on ethical leadership is needed in 2022. Joshua responds that emerging from the crisis mode of the pandemic comes with a range of challenges that board members have to face, including increasing interest rates, high inflation, and uncertainty. Board members need to be able to situate their companies against these challenges and risks, ask the right questions, and provide leadership that will drive their organizations forward.
The Role of Corporate Leaders in ESG
Sustainable leadership in ESG means that the needs and wants of the broad ecosystem of company stakeholders are being met with what Joshua calls, ‘compassionate pragmatism’. “Corporate leaders are able to weigh up and evaluate the comprehensive impact that their decisions are having on the environment on local communities, on their employees, on their suppliers, on their customers, and yes on their investors,” Joshua further explains. Compassionate pragmatism is also about taking in the impact, whether positive or negative, that corporate decisions may have, as well as managing what leaders can measure, and what they cannot. Leaders have to figure out what they value, and also what values they can gather as a business community that will drive them towards enduring prosperity.
America in Ethical Leadership
Joshua doesn’t see America taking the lead on ESG, or other sustainability issues; however, he does see America leading relative to other economies that are trying to get their citizens into the global middle class. Innovation on various compliance and ethical issues is happening around the US, and this is because individuals are recognizing the need to respond. The impact of corporate decisions over the decades is being felt across the political spectrum. Scandals and breaches of ethics also have serious ramifications and consequences for businesses, and so it makes sense for leaders to step and lead with ethical conviction. Joshua’s role as a philosopher is to expand the moral imagination of the leaders he works with, so they can ask the right questions and consider sustainable leadership possibilities they otherwise may not have thought of.
Resources
Joshua Nunziato | LinkedIn | Twitter
Today’s episode was inspired by the Notre Dame Deloitte Center for Ethical Leadership and its Faculty Fellows who recently put together their annual list of Best Books for Ethical Leaders. In it, they we share ten books published during the 2021 “that bridge the worlds of business and academia and provide practical insights that can help leaders live and work more ethically.” Over the next two episodes of the Sunday Book Review, I will be exploring their list.
· You Have More Influence Than You Think by Vanessa Bohns, selected by Brett Beasley.
· Under a White Sky: The Nature of the Future by Elizabeth Kolbert, selected by Jessica McManus Warnell.
· Seven Deadly Economic Sins: Obstacles to Prosperity and Happiness Every Citizen Should Know by James Otteson, selected by Brett Beasley.
· A Catechism for Business: Tough Ethical Questions and Insights from Catholic Teaching (3rd edition) selected by John Sikorski.
Richard Lummis is on assignment this week so I am pleased to host Alyson Van Hooser, who was recently in Houston. We sat down for a live recording about her recent LinkedIn post, “3 Gen Z Perspectives Leaders Need to Know”.
Highlights of this podcast include:
- Why are you in Houston?
- Why did you write the article?
- How is Gen Z leadership different from Boomer leadership?
- Why do leaders need to learn from stories from their people, not statistics about them?
- How does the style of Gen Z parenting different from that of Gen X (or Boomers) and why is that important to a business leader?
- Why do you advise Gen Z leaders not to roll up their eyes but to roll up their sleeves?
- Why is connecting fast so important to training and communications?
- Why are you so passionate about leadership?
Resources
Alyson’s weekly leadership blog HERE.
If your business would benefit from higher-performing leaders, check out more information about the comprehensive leadership development training Alyson does training, HERE.
If you want to reach out to Alyson directly, email alyson@vanhooser.com.
P.S. Share and tag Alyson on social — @AlysonVanHooser
As Opening Day near and the Astros are predicted to unseat Jay’s Red Sox to win the 2019 World Series, both lads are eternally hopeful for their hometown heroes. While debating this issue, they also take a look at some of this week’s top compliance and ethics stories which caught their collective eyes this week.
- Former Hong Kong official sentenced for FCPA violations. Harry Cassin reports in the FCPA Blog. Matthew Goldstein reports on how to reduce your FCPA sentence in the New York Times.
- SEC awards two whistleblowers $50MM. Kristin Broughton in the WSJ Risk and Compliance Journal. Matt Kelly takes a deep dive in Radical Compliance. Doug Cornelius gets snarky in Compliance Building. Jonathan Marks weighs in on Board and Fraud.
- Jonathan Ruschand William Weaver debate whether corruption can be measured. Both on the FCPA Blog.
- Was it fraud or was it incompetency? The HP v. Autonomy civil trial begins in London. The BBC
- What is the difference in whistleblowing and extortion? Joe Mont explains in Compliance Week. (sub req’d)
- What are your supply chain risks? Russ Berland explores in Part 1 of a two-part blog post series on Corporate Compliance Insights.
- Looking at enforcement of financial market crimes in Canada and UK. Anita Anand reports in NYU’s Compliance and Enforcement Blog.
- What steps can you take to reduce whistleblower retaliation? Matt Kelly opines in Navex Global’s Ethics and Compliance Matters
- OECD slams Canadian government for interfering in SNC-Lavalin corruption investigation. Jonathan Rausch reports in Dipping Through Geometries.
- Join Tom and AMI’s Jesse Caplan for a 5-part exploration of emerging issues in healthcare compliance and monitoring. Check out the following: Part 1-Opioid Crisis-Legal issue; Part 2– Opioid Crisis-compliance solution; Part 3– the regulators; Part 4-the monitoring healthcare organizations; and Part 5-proactive monitoring. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Panoplyand YouTube. The Compliance Podcast Network is now also on Spotifyand Corporate Compliance Insights.
- In Houston on April 11? Join the Greater Houston Business and Ethics Roundtable for a presentation for one year look back on GDPR. Registration and information are here.
- Check out the latest edition of Great Women in Compliance where Mary Shirley visits with Marianne Ibrahim.
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.
For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.
As the St. Patrick’s Day weekend is past and Spring has sprung all over Tom and Jay are back to take a look at some of this week’s top compliance and ethics stories which caught their collective eyes this week.
- What are some of the lessons for compliance professionals from the college admissions scandal? Bob Conlin and Carrie Penman lay them out in Navex’s Ethics and Compliance Matters.
- How did the FCPA Corporate Enforcement Policy change for messaging apps? Nate Lankford and Dawn E. Murphy-Johnson spell it out for you in the FCPA Blog.
- What’s the difference between concurrent, consecutive and stacked? Sara Kropf explains it all her great blog, Grand Jury Target.
- Even the big dogs can be defrauded. Kristen Broughton reports on fraud which cost Google and Facebook over $100MM in the WSJ Risk and Compliance Journal.
- Training wheels will continue to be useful in the future. Ken Wielerstein explains in the Analysts Syndicate.
- The business response leads to better compliance through FinTech. Matthew Epstein and Robert Werner discuss in NYU’s Compliance and Enforcement Blog. Sonny Singh in Corporate Compliance Insights.
- Cyber breach disclosures are a mess. Matt Kelly reports in Radical Compliance.
- The Editor speaks on insider threats. Compliance Week Editor Dave Lefort discusses what he learned at Compliance Week West, in Compliance Week. (sub req’d)
- Jaclyn Jaeger looks inside the FBI Office of Integrity, in Compliance Week. (sub req’d)
- Following up on his blog post series on the MTS FCPA settlement, Tom moves to the audio format for a podcast series on the enforcement action.Check out the following: Part 1-background;Part 2-bribery schemes; Part 3– missed red flags; Part 4-the individual indictments; and Part 5-lessons learned. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Panoplyand YouTube. The Compliance Podcast Network is now also on Spotifyand Corporate Compliance Insights.
- In Houston on Tuesday? Join Tom and Katie Smith at Convercent’s Roundtable Lunch. Registration and information are here. If you are not in Houston, then join Tom, Louis Sapirman and Katelyn Conlyn for a Convercent webinar on how to better engage with your employees. Registration and information for the webinar found here. Best of all, both events are FREE.
- Check out the latest edition of Popcorn and Compliancewhere Tom and Jay looked at Captain Marvel from the compliance perspective.
- Join Tom and AMI’s Jesse Caplan next week for a 5-part exploration of emerging issues in healthcare compliance and monitoring. The podcast will be available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Panoply, YouTube, Spotify and Corporate Compliance Insights.
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.
For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.
On this Ides of March tAs the St. Patrick’s Day weekend is upon, and we are all Irish at least for a day, Tom and Jay are joined by our favorite Irishman (and the Coolest Guy in Compliance), Matt Kelly to take a look at some of this week’s top compliance and ethics stories which caught their collective eyes this week.
- Massive corruption scandal rocks college admissions across the country. Dana Goldstein and Jack Healy in the NYT. Douglas Belkin and Jennifer Levitz in the WSJ. Nick Anderson in the Washington Post.
- FARA, FARA, FARA. Katie Brenner in the NYT. Dan Packel in Law.com.
- Former KPMG national practice leader convicted in PCAOB scandal. Michael Rapaport reports in the Wall Street Journal.
- Will the US finally clamp down on shell companies? Matthew Stephenson is cautiously optimistic in the Global Anti-Corruption Blog. General David Petraeus and Sheldon Whitehouse explain why it’s a national security issue in an Op-Ed piece in the Washington Post.
- Head coaches behaving badly as LSU head basketball coach suspended indefinitely in NCAA recruiting scandal. Ross Dellenger reports in Sports Illustrated.
- DOJ quietly modifies Corporate FCPA Enforcement Policy. Clare Hudson and Adam Dobrik report in GIR. (sub req’d) DOJ policy of self-disclosure making headway. Mingqi Sun in the WSJ Risk and Compliance Journal.
- Did Oracle violate the FCPA? (Tech Central)
- 1MDB scandal back in the news as former Goldman Sachs banker Timothy Leissner and Roger Ng banned from banking industry for life. David Simpson reports in Law360. (sub req’d) Also-did Jho Low contribute to Trump campaign? Tom Wright and Bradley Hope in the Wall Street Journal.
- How can you engage a BOD on cyber risks? Deloitte’s Khalid Kark, Tonie Leatherberry and Debbie McCormack in the Harvard Law School Forum on Corporate Governance.
- Tom continues with fan fav podcast series this week, the Adventures in Compliance this week.Check out the following: Part 1-The Red Circle; Part 2-The Abbey Grange; Part 3– The Priory School; Part 4-The Six Napoleons; and Part 5-The Empty House. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Panoply and YouTube. The Compliance Podcast Network is now also on Spotify. It is now on Corporate Compliance Insights.
- In a special guest segment, Matt Kelly reports on the highlights from Ethisphere’s Global Business Ethics Summit, which was held this past week in New York.
- Check out the latest edition of Popcorn and Compliance where Tom and Jay look at Captain Marvel. It posts Saturday, March 16 on the Compliance Podcast Network.
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.
For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.
