Tag: ethics and complinace

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SBR - Authors' Podcast

SBR Authors Podcast: Adam Balfour on Ethics and Compliance for Humans

Welcome to the Sunday Book Review, the Authors Podcast! Don’t miss out on this episode of SBR-Author’s Podcast, where Tom sits down with Adam Balfour on his book Ethics & Compliance for Humans.

Adam Balfour, a Scottish-born compliance professional, has been leading the compliance program for the Americas region at Bridgestone. Balfour strongly believes in the importance of ethics, compliance, and leadership within organizations, arguing that these elements can significantly contribute to financial success. He likens the role of ethics and compliance professionals to soccer midfielders, who defend and support the team’s growth. Balfour’s perspective is shaped by his experiences and passion for ethics and compliance, leading him to write a book titled “Ethics & Compliance for Humans,” providing valuable resources for compliance professionals. Join Tom Fox and Adam Balfour on this episode of the SBR-Author’s Podcast as they delve deeper into these topics.

Key highlights include:

  • The Duality of Human Nature
  • The Importance of Guiding Employees Ethically
  • Humanizing Compliance Programs: Building Ethical Relationships
  • Engaging Compliance Training through Pop Culture
  • Navigating Ethical Dilemmas in the Workplace
  • The Role of a Unifying Purpose Leader

Resources:

Adam Balfour on Linkedin

Ethics & Compliance for Humans

Tom Fox

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This Week in FCPA

Episode 215 – the Something’s Burning edition


As the Chinese Consulate burns papers after its closure, Tom and Jay brave the surge in Covid-19  cases by staying safe at home. They are back to look at top compliance articles and stories which caught their eye this week.

1.     More compliance guidance from OFAC. Dick Cassin reports in the FCPA Blog.

2.     First ComEd fined $200MM in Illinois, then Speaker of Ohio House charged in massive state corruption probes. Matt Kelly in Radical Compliance on Illinois. Julie Wernau and Katherine Blunt in WSJ on Ohio.

3.     Was Willie Nelson or Patsy Cline crazy? Bill Steinmann says it’s the FCPA year 2020 in the FCPA Blog.
4.     Mike Volkov goes Old Testament about Amazon OFAC sanctions. In Corruption Crime and Compliance.
5.     From 3 Lines of Defense to the 3 Lines Model as the IIA updates its model. Matt Kelly back with a rare double double for This Week in FCPA in Radical Compliance.
6.     Compliance really is a journey. Mary Shirley in CCI.
7.     How is Covid-19 impacting compliance? Jennifer Sun explores in CCI.
8.     The Ethical Revolution in Business. Philip Winterburn and Jane Mitchell in Converge.
9.     This month on The Compliance Life, I am joined by Scott Sullivan, Chief Integrity and Compliance Officer at Newport Mining. In Part 1, we discussed  the need for empathy in a CCO. In Part 2, we looked at reading the tea leaves and staying ahead of the (corp) wolf pack. This week in Part 3, we considered who a CCO needs on their compliance team.
10.  On the Compliance Podcast Network, Tom continues the topic of 3rd party risk management this month.This week saw the following offerings: Monday-the ROI of 3rd party compliance (Linda Justice as guest); Tuesday– 3rd parties as innovation partners (Eric Feldman as guest), Wednesday-3rd party risk expansion; Thursday-termination of 3rd parties; and Friday-distributor compensation. The month of July is being sponsored by Affiliated Monitors.  Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here.
11.  Great Upcoming Webinars:
K2 Intelligence Fin Webinar with AIBACP: Pandemics to Recession—Finding AML and ABC Synergies in Tough Times, July 30, 2020 at 1:30 PM – 2:30 PM EST; with JoAnn Taylor and Adam Frey. Registration and Information here.
ECI’s Best Practice Forum, a Q&A Session with Brian Rabbitt, Acting Assistant Attorney General for the Criminal Division on the FCPA Resource Guide, 2nd edition, Thursday, July 30, 2:00 – 4:00 p.m. EDT. Registration and Information 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.

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Compliance Into the Weeds

Compliance Issues in 2020, Part 1

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. Welcome to the first Into the Weeds podcast of the new decade and the new year. In this Part 1 of a two-part podcast series, Matt Kelly and I take a look at ten issues that we think will be significant for the compliance professional in the upcoming year.

Some of the highlights include:

  • A legislative fix to the Supreme Court’s Digital Realty Trust decision? Can Congress do anything, including overturning this anti-compliance ruling.
  • The Fed will take a look at technological service providers? How this will impact compliance.
  • Climate change disclosures. We use this topic to consider the impact on corporate governance, Boards and mandated disclosures.
  • Disgorgement at the Supreme Court. Will the SCt allow fraudsters to keep their ill-gotten gains?
  • Critical audit matters. Will companies move make controls more data based and less subjective?

Check in next week, where Matt and Tom continue the discussion.
Resources
Matt’s blog post 7 Compliance Items to Watch in 2020 in Radical Compliance.