Tag: Hanzo

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FCPA Compliance Report

A Look Ahead — Perspectives on Compliance in Uncertain Times


Today, I post a recording of a recent webinar where I was a panelist on perspectives on compliance in uncertain times. The webinar was sponsored by Hanzo. The panelist included:

● Alexia J. Maas, Senior Vice President, General Counsel at Volvo Financial Services
● Ana-Paola (AP) Capaldo-Aoun, Director, Ethics & Compliance Officer, TechData
● Tom Fox, Compliance Evangelist, Founder Compliance Podcast Network
The highlights include:
Impact of the COVID-19 pandemic on how companies will do business. How has the the pandemic affected how we do business?  How has Covid-19 changed the way we interact and collaborate with one another?  What are the positive and negative impacts you see, especially from a compliance perspective.  What have we learned thus far, and what new challenges may well arise?
Compliance requirements going forward, what will be different and strategies for keeping up. This section includes regulatory and compliance expectations that are changing post-COVID19.  Are things getting easier, or more challenging?
How are employee expectations are evolving and thoughts on how companies may be responding.
Risk mitigation and why now is not the time to let up on compliance. In what ways organizations are responding and mitigating risks?  What happens when budgets are cut and how employees typically react to change?  How extreme hardship can drive inappropriate behaviors and what organizations should be thinking about to combat it.What risks associated with creating a “culture of override” and letting exceptions become the standards.
Best practices for compliance in a stay-at-home world both internally and externally. This discussion is of increasing risks and ideas for mitigating those risks, along with best practice recommendations. What is the importance of staying connected and how to avoid getting overwhelmed?  Now is the time for reviewing your compliance initiatives and the value of iteration and continuous improvement.  How can you take advantage of the opportunities the pandemic is creating, such as how employees seem more engaged and attentive to corporate communications.
For more information on Hanzo, click here.
For a White Paper jointly produced by Hanzo and myself on the 2020 Update to the Evaluation of Corporate Compliance Programs, click here.
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FCPA Compliance Report

Episode 444, Jim Murphy on the Dangers in Using Slack

In this episode I visit with podcast favorite Jim Murphy, who is the VP of Products at Hanzo. We discuss a recent article by Murphy which appeared on Corporate Compliance Insights and was entitled, The Shark in the Wave: Revealing the Lurking Danger of Slack Data.It detailed the dangers from Slack from a compliance and investigative perspective. Highlights from the podcast include:

  1. Murphy’s role at as VP of Products at Hanzo
  2. Why did you write, The Shark in the Wave: Revealing the Lurking Danger of Slack Data?
  3. A discussion of rise of Slack as a common business tool.
  4. What are the dangers in using Slack from the compliance and investigative perspectives?
  5. How can a company think though managing these risks?

For additional reading, see Murphy’s article, The Shark in the Wave: Revealing the Lurking Danger of Slack Data, on Corporate Compliance Insights by clicking here.

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FCPA Compliance Report

FCPA Compliance Report-Episode 433, Sean Freidlin on the Current State of Internal Investigations

In this episode I visit with Sean Freidlin, the Senior Product Marketing Manager, Compliance at Hanzo. We take a deep dive into the state of compliance investigation in 2019, focusing on the impact of the Evaluation of Corporate Compliance Programs on investigations. For more information, Hanzo has published the following work, “THE 2019 GUIDE TO INTERNAL INVESTIGATIONS FOR COMPLIANCE-An eBook on Planning, Protocols, Data Collection, Triage, and Remediation” on which I collaborated. (The eBook was sponsored by Hanzo.) The eBook provides the compliance professional with multiple tools, strategies and tactics for the entire lifecycle of investigations; from initial intake through remediation. I know that you will find it incredibly useful. You can download it here.
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This Week in FCPA

This Week in FCPA-Episode 156 – the Farewell to May edition

As the lads wish a fond farewell to May, enjoy the Astros still leading the MLB with the best record and looking forward to the start of summer, they return to discuss both events some of this week’s top compliance and ethics stories which caught their collective eyes.

  1. Dave Lefort’s Top 10 takeaways from Compliance Week 2019. (sub req’d) Tom, Mary Shirley, Lisa Fine and Amii Bernard-Bahn provide their reflections on a cross-posted podcast.
  2. Why ethics matters at the top.
  3. Can UNCAC help Mozambique recover funds stolen through corruption? Rick Messick explores.
  4. What is cooperation and remediation? Matt Kelly explores.
  5. Why is pre-acquistion DD from the compliance perspective now critical in France? Antoine F. Kirry, Frederick T. Davis, and Alexandre Bisch discuss.
  6. How much does a monitorship cost? Jay continues his multipart series on monitorships .
  7. How do you audit your investigative protocol? Mike Volkov explains in a 3-part series on his blog site Corruption, Crime and Compliance.
  8. Why is visibility key for compliance? Elsa Chan explores.
  9. CITGO now part of PdVSA/Venezuelan corruption scandal. Dick Cassin reports. Marissa Luck.
  10. Is there a legal duty to set the right ‘tone at the top?”
  11. This week Tom had a special 5-part podcast series sponsored by Hanzo on using AI and data analytics in compliance investigations. Check out the following: Part 1-Current State of Investigations; Part 2-Using AI and Web-Based Evidence; Part 3– Overcoming Investigative Challenges; Part 4-Improving Investigative Efficiencies; Part 5-Where are investigations headed? The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone,YouTube,  Spotifyand Corporate Compliance Insights. The Compliance Podcast Networkjoins C-Suite Radio.
  12. Join Tom in Boston for industry leading Compliance Master Class at the offices on AMI on June 11 & 12. Listeners who attend will receive a complimentary copy of The Compliance Handbook. Registration and Information is here. Join Tom, Eric Feldman, Vin DiCianni and Jay at the AMI Roundtable in Boston on June 13 for a deep dive into the DOJ’s new Evaluation of Corporate Compliance Programs-2019 Guidance. Information and registration is 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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FCPA Compliance Report

Leveraging AI in Compliance Investigation: Part 5 – Where are investigations headed?

Today we conclude a five-part podcast series sponsored by Hanzo, where we have considered how to leverage Artificial Intelligence (AI) in compliance investigations. I have been joined by several members of the Hanzo team as we explored the current best practices around investigations and how your compliance function can take investigations to a level of cost efficiency and operational proficiency. Our explorations include considering the current Department of Justice (DOJ) guidance on investigations, the use of AI in the Hanzo Investigator, how Hanzo technology can help a company overcome common investigative challenges and Hanzo’s specific approach to finding and managing data across the entire lifecycle of an investigation. In Part 5, I am once again joined by Keith Laska, Hanzo CEO, to consider how the company’s specific approach to finding and managing data across the entire lifecycle of an investigation improves the efficiency of a compliance investigation in a cost-effective manner.  For more information check out Hanzo.co.
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FCPA Compliance Report

Leveraging AI in Compliance Investigation: Part 4-Improving Investigative Efficiencies

I am on a five-part podcast series sponsored by Hanzo. In this series we consider how to leverage artificial intelligence (AI) in compliance investigations. In this series I am joined by several members of the Hanzo team as we explore the current best practices around investigations and how your compliance function can take investigations to a level of cost efficiency and operational proficiency. Our explorations includes considering the current Department of Justice (DOJ) guidance on investigations, the use of AI in the Hanzo Investigator, how Hanzo technology can help a company overcome common investigative challenges and Hanzo’s specific approach to finding and managing data across the entire lifecycle of an investigation. In this Part 4 I am joined by Keith Laska, Chief Executive Officer (CEO) at Hanzo to consider how the use of AI in investigations improves the workflow and processes around solving complex problems that compliance professionals experience when work around data. For more information, check out the Hanzo Dynamic Investigator in more detail and how it will assist you moving forward. For more information visit Hanzo.co.
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FCPA Compliance Report

Leveraging AI in Compliance Investigation: Part 3-Overcoming Investigative Challenges

This week I embark on a five-part podcast series sponsored by Hanzo. In this series we consider how to leverage artificial intelligence (AI) in compliance investigations. In this series I am joined by several members of the Hanzo team as we explore the current best practices around investigations and how your compliance function can take investigations to a level of cost efficiency and operational proficiency. Our explorations includes considering the current Department of Justice (DOJ) guidance on investigations, the use of AI in the Hanzo Investigator, how Hanzo technology can help a company overcome common investigative challenges and Hanzo’s specific approach to finding and managing data across the entire lifecycle of an investigation. In this Part 3, I am joined by again Jim Murphy, VP for Products at Hanzo to consider more specifically how this technology has been used by legal professionals in the past and why this matters for compliance professionals going forward.  For more information, check out the Hanzo Dynamic Investigator in more detail and how it will assist you moving forward. For more information visit Hanzo.co.
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FCPA Compliance Report

Leveraging AI in Compliance Investigation: Part 2-Using AI and Web-Based Evidence

This week I embark on a five-part podcast series sponsored by Hanzo. In this series we consider how to leverage artificial intelligence (AI) in compliance investigations. In this series I am joined by several members of the Hanzo team as we explore the current best practices around investigations and how your compliance function can take investigations to a level of cost efficiency and operational proficiency. Our explorations includes considering the current Department of Justice (DOJ) guidance on investigations, the use of AI in the Hanzo Investigator, how Hanzo technology can help a company overcome common investigative challenges and Hanzo’s specific approach to finding and managing data across the entire lifecycle of an investigation. We begin today with Part 2 where I am joined by Jim Murphy, VP for Products at Hanzo to consider how to conduct more conclusive compliance investigations with AI and web-based evidence. For more information, check out the Hanzo Dynamic Investigator in more detail and how it will assist you moving forward. For more information visit Hanzo.co.
Categories
FCPA Compliance Report

Leveraging AI in Compliance Investigation: Part 1-Current State of Investigations

This week I embark on a five-part podcast series sponsored by Hanzo. In this series we consider how to leverage artificial intelligence (AI) in compliance investigations. In this series I am joined by several members of the Hanzo team as we explore the current best practices around investigations and how your compliance function can take investigations to a level of cost efficiency and operational proficiency. Our explorations includes considering the current Department of Justice (DOJ) guidance on investigations, the use of AI in the Hanzo Investigator, how Hanzo technology can help a company overcome common investigative challenges and Hanzo’s specific approach to finding and managing data across the entire lifecycle of an investigation. We begin today with Part 1 where I am joined by Sean Friedlin, Hanzo’s Senior Product Marketing Manager, Compliance, to consider the current state of investigations. Join us in our next episode where we consider the Hanzo Dynamic Investigator in more detail and how it will assist you moving forward. For more information visit Hanzo.co.
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FCPA Compliance Report

FCPA Compliance Report-Episode 427, Hanzo Q1 2019 Compliance, Risk, and Regulations Research Roundup

In this episode I take things in a bit of a different direction as I am interviewed by Sean Freidlin, Senior Product Marketing Manager, Compliance at Hanzo, on a project commissioned by Hanzo which became a part of the Hanzo Q1 2019 Compliance, Risk, and Regulations Research Roundup. Sean explains what the resulting white paper provides and then queries me on some of the deep dives I took into several areas.  Some of the highlights from the podcast include:

  • What is the Hanzo Q1 2019 Compliance, Risk, and Regulations Research Roundup?
  • The approach in writing the Roundup.
  • What were key macro highlights from the WEF Global risk Report 2019?
  • What were key micro business highlights from the Allianz Business Risk Barometer-Top Business Risks?
  • What are some of the key regulatory enforcement priorities going forward into 2019?
  • Where has compliance been over the past 18 months and where is it headed going forward?
  • Where listeners can go for more information.

To obtain a full copy of the  Hanzo Q1 2019 Compliance, Risk, and Regulations Research Roundup, click here.