Tag: Radical Compliance

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Compliance Into the Weeds

Unintended Consequences of CCO Certifications

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 more fully explore a subject. In this episode, we take a deep dive into some of the unintended consequences of CCO certifications as required by the Department of Justice.  Highlights include:

·      What happened to reasonable and proportional?

·      What about control override?

·      What is the purpose of compliance training?

·      What is effective compliance training?

·      Is compliance training complimentary to compliance training effectiveness?

Resources

Matt in Radical Compliance

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Compliance Into the Weeds

Company Size and State of Their Compliance Programs

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 look at the recent ECI report on the Differences Between Small, Medium And Large Enterprises E&C Programs. Highlights include:

·      Where did this ECI report derive its data?

·      Why are middle sized companies in such bad condition regarding compliance program?

·      Why are middle sized companies having the most issues?

·       When is the time for compliance SME at a company?

·      When should a company institute robust internal controls?

Resources 
Matt in Radical Compliance
ECI Report – Differences Between Small, Medium And Large Enterprises E&C Programs

Categories
Compliance Into the Weeds

Two Obscure Academic Papers and Compliance


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 up two recent academic papers which every compliance practitioner should study as they provide insight about how communications can impact both fraud prevention and compliance. Some of the issues we consider

  • Berger and Lee on state FCA claims cutting overall accounting fraud.
  • Jinjie Lin on SEC tweeting and reduction of SEC violations.
  • What do these communication strategies portend?
  • How can they be used by the compliance professional?
  • Why whistleblowing does more than simply prevent fraud, waste and abuse. Itimproves the bottom line.
  • Investment in communications strategies pays off.

Resources
Matt in Radical Compliance