Tag: ethics

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This Week in FCPA

Episode 277 – the Immunized Not Vaccinated edition

As Aaron Rogers is fined less than a player who had his shirttail untucked, he and Jay are back to reflect on some of the top compliance and ethics stories in the Immunized Not Vaccinated edition. 

Stories

1.     Will corruption forestall climate change? Monica Guy in the FCPA Blog.
2.     Driving culture through sustainability. Linda Luty in Risk and Compliance Matters.
3.     Stope little problems from becoming big ones. Mike Volkov in Corruption Crime and Compliance.
4.     More on ‘effective compliance’? Michael Julian in the FCPA Blog.
5.     What is ‘success’ in ABC compliance? Matthew Stephenson in GAB.
6.     Revisiting your whistleblower program. Debevoise Plimpton lawyers in Compliance and Enforcement.
7.     The role of BOD in ESG.  Jurgita Ashley and Randy Vai Morrison in Harvard Law Forum on Corporate Governance.
8.     Disclosing cybersecurity issues. Matt Kelly in Radical Compliance.
9.     Mashreqbank fined $100MM by DFS. Jaclyn Jaeger in Compliance Week. (sub req’d) 
10.  Tailoring a Design Thinking program that fits for you. Carsten Tams on LinkedIn.

Podcasts and Events

11.  How can a 1st responder deal with PTSD? One way is through poetry. Check out my interview with Detective Ed Gillespie, Policeman Poet of Baltimore in a very special episode of Greetings and Felicitations.
12.  Are you exasperated? Then check, F*ing Argentina. In this podcast series co-hosts Tom Fox and Gregg Greenberg, author of F*ing Argentina explore the current American psyche of being overworked, over leveraged, overtired and overwhelmed. Find out about modern America’s exasperation with well…exasperation. In Episode 9, a lost purse and panic in Shubert Alley.
13.  This month on The Compliance Life, I visit with Wendy Badger, CCO at Tennant. In Part 1, she details her academic career and early professional life. In Part 2, changing ladders to advance your career.
14.  In a sponsored podcast series, I visit with 6clicks on their innovative GRC solutions. In Episode 1, Joe Schorr on the hub and spoke approach. In Episode 2, Andrew Robinson on AI and ML in GRC. In Episode 3, Stephen Walter on building a content library. In Episode 4, Heather Buker on producing audit ready reports. In Episode 5, Ant Stevens on what’s next for 6clicks.
15.  Next week, I am running a 5-part series on Understanding Lyme Disease. The episodes will post daily at 10AM. You can check out all episodes on the Greetings and Felicitations podcast. Episode 1: Origins and Evolution; Episode 2: The Diagnosis Dilemma; Episode 3: Treatment and Innovation; Episode 4: Protection and Immunity; Episode 5: Looking Ahead
16.  How does a Compliance Bible become a best-seller? Check out Tom’s appearance on the C-Suite Network’s Best Seller TV to find out.  Purchase The Compliance Handbook, 2nd edition here.
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.

Categories
Daily Compliance News

June 3, 2021 the States Doing Ethics edition


In today’s edition of Daily Compliance News:

  • How do you solve a problem like Elon? (WSJ)
  • HBO and the Discovery Channel. What could go wrong? (NYT)
  • Illinois passes ethics bill. (Illinois Policy)
  • Ohio gubernatorial candidate proposes corruption reform for Ohio. (Dayton Daily News)
Categories
Compliance Into the Weeds

A Mayor, Covid-19 and Leadership


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. In this episode Matt and Tom go into the weeds to look at the actions of Denver Mayor, Michael Hancock. Just before Thanksgiving he told folks to stay at home to avoid Covid-19 transmission and then promptly traveled to Mississippi for the Thanksgiving holidays. Some of the issues we consider are:

  • Is there always an inherent conflict in a human leader?
  • How do leaders rationalize misconduct?
  • What are the dangers when they do so?
  • Do as I say, not as I do. Are we all simply our parents?
  • What is the role of compliance?
  • How do Hancock’s actions fit into the Fraud Pentagon?

Resources
For more information see Matt’s blog post:
More Misadventures in Leadership 
For more information on the Fraud Triangle see Jonathan Marks’ blog post:
Fraud Pentagon

Categories
The Ethics Movement

The risk landscape of re-opening and Phase 2 of pandemic response

As the first phase of the pandemic response ends, countries around the world enter a period of phased re-opening. How can compliance teams uncover the risks that went unnoticed during the first phase, and what new risks do they face now? And what the heck is a “culture of override?” Join Tom and Philip on this episode of The Ethics Movement as they talk risk assessments, remote work, and all things risk.

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The Ethics Experts

Bonus Episode: COVID-19 Edition with Chris Winton


On this special bonus episode of The Ethics Experts, we speak with Chris Winton about perspective, the glass ceiling, and your career as a moving target, not a fixed one.

 Check out more episodes, and don’t forget to subscribe on your favorite podcast platform!

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The Ethics Experts

Episode 012–Deb Muller


On this episode of The Ethics Experts, we speak with Deb Muller about how to recruit and maintain good talent, why HR is the most “human” of departments, and how to be a successful CEO of many individuals.

 Check out more episodes, and don’t forget to subscribe on your favorite podcast platform!

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ComplianceLIVE

Fun-Size Your Password Can’t Be PASSWORD123: Staying Compliant While Working From Home

Amanda zooms with show regular Chris Martin about how to stay compliant while working from home.

Check out more episodes and full episode videos at ComplianceLine.com, and don’t forget to subscribe on your favorite podcast platform!

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This Week in FCPA

Episode 181-the Fishy Letters edition

SEC Chair Jay Clayton is reduced to having a PR firm create fake investor comments to support a SEC rule change. The Astros cheating scandal gets worse. As Tom worries MLB might take away his replica World Series Championship Trophy and Jay consoles him about when a team cheats and wins, they turn to some other of this week’s top compliance and ethics stories which caught their collective eyes.

  1. Using the same defense as Hoskins, Boustani admits bribery and corruption in Mozambique Tuna Boat case. Will it work out any better for him? Steward Bishop and Frank Runyeon in Law360. (Sub Req’d)
  2. SEC whistleblower tips go down for the first time. Kristen Broughton in the WSJ Risk and Compliance Journal. Kevin LaCroix sees it otherwise, on the D&O Diary.
  3. Jay Clayton gins up fake written comments to support regulation change. Zachary Mider and Ben Elgin report in Bloomberg.
  4. Former Keppel Offshore lawyer sentenced to time served. Dick Cassin reports in the FCPA Blog.
  5. Why punishing the bribe takers is equally important as punishing the bribe payors? Matthew Stephenson explains it all in the Global Anti-Corruption Blog.  
  6. Does an aggressive position in a Wells submission hurt a company in a SEC enforcement action? Lawyers from Simpson Thatcher explore in NYU’s Compliance and Enforcement Blog.
  7. What is ‘enforcement fatigue’ and how did Alstom overcome it? Dylan Tokar reports in the WSJ Risk and Compliance Journal.
  8. of Treasury bringing more sanctions cases against shipping companies. Kristin Broughton reports in the WSJ Risk and Compliance Journal.
  9. What will risk and compliance look like in 2020? David Banks considers in Navex Global’s Ethics & Compliance Matters blog.
  10. How does M&A benefit from an independent assessment? Jay continues his series on CCI.
  11. What are the implications of Gen Z on the front lines of compliance? Gaurov Kapoor explores in CCI.
  12. Recent FCPA enforcement actions shows the SEC will use FCPA Accounting Provisions to hold a company liable for ineffective AML controls. Clay Porter in the National Law Review.
  13. Navex’s Loren Johnson joins the podcast to talk about Navex Global’s 2020 Benchmarking Survey.You can participate in Navex Global’s annual survey by clicking 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.
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.

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Daily Compliance News

Daily Compliance News: May 16, 2019-the CEOs and ethical lapses edition

In today’s edition of Daily Compliance News:

  • More business leaders forced out for ethical lapses than for poor financial performance in 2019. (Washington Post)
  • Do large companies fear legal violations? (New York Times)
  • Nordic/Baltic countries agree to share AML information. (Wall Street Journal)
  • Anti-corruption measures as KPIs for government ministers. What a novel idea. (Yahoo Business News)AML
Categories
Compliance Into the Weeds

Compliance into the Weeds: Episode 120-On the Ethical Tarmac

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. In this episode, Matt Kelly (the coolest guy in compliance) and I take a deep dive into continued ethical, reputational and business imbroglio which Boeing finds itself in around the 737 MAX airliner, as the company finds itself on the ethical tarmac.
Some of the highlights include:

  • Where does compliance come into a sales strategy?
  • Who is responsible for entailing safety – the buyer or seller?
  • What does it mean from the compliance perspective is a safety upgrade is optional?
  • How does regulatory capture affect overseas sales?
  • What is the legal analysis around safety and options for safety upgrade on products?
  • Who should regulate the supply side-the government or the market?

For more reading check out Matt’s blog post “More on Boeing and Business Ethics”