Tag: Star Trek TOS

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Trekking Through Compliance

Trekking Through Compliance-Episode 48 – A Private Little War


In this episode of Trekking Through Compliance, we consider the episode A Private Little War which aired on February 2, 1968, Star Date 4211.4.
Compliance Takeaways:

  1. Why a Board needs compliance expertise.
  2. What is the M&A safe harbor?
  3. How the FCPA fosters competition.
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Trekking Through Compliance

Trekking Through Compliance-Episode 47 – The Immunity Syndrome


In this episode of Trekking Through Compliance, we consider the episode The Immunity Syndrome which aired on January 19, 1968, Star Date 4307.1.

Compliance Takeaways:
  1. For export control compliance; screen, screen and then screen again.
  2. How do you choose your project team?
  3. What is your innovation strategy?
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Trekking Through Compliance

Trekking Through Compliance-Episode 46 – A Piece of the Action


In this episode of Trekking Through Compliance, we consider the episode A Piece of the Action which aired on January 12, 1968, Star Date 4798.0.

Compliance Takeaways:
  1. The written word still holds power.
  2. Can you communicate in local vernacular?
  3. How do you select your Board of Directors?
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Trekking Through Compliance

Trekking Through Compliance-Episode 45 – The Gamesters of Triskelion


In this episode of Trekking Through Compliance, we consider the episode The Gamesters of Triskelion which aired on January 5, 1968, Star Date 3211.7.
Compliance Takeaways:

  1. What tools are available to you?
  2. What is inform risk?
  3. What is your risk management strategy?
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Trekking Through Compliance

Trekking Through Compliance-Episode 44 – The Trouble with Tribbles

In this episode of Trekking Through Compliance, we consider the episode The Trouble with Tribbles which aired on December 29, 1967, Star Date 4523.3.
Compliance Takeaways:

  1. What is the financial health of your suppliers?
  2. What happens when management controls are too siloed?
  3. Are you engaging in social media monitoring?
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Trekking Through Compliance

Trekking Through Compliance-Episode 43 – Wolf in the Fold


In this episode of Trekking Through Compliance, we consider the episode Wolf in the Fold which aired on December 22, 1967, Star Date 3614.9.
Compliance Takeaways:

  1. Does your Board engage in active oversight of your compliance function?
  2. Do you perform due diligence on potential senior management hires?
  3. What should be the length of a suspension?
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Trekking Through Compliance

Trekking Through Compliance-Episode 42 – Obsession


In this episode of Trekking Through Compliance, we consider the episode Obsession which aired on December 15, 1967, Star Date 3619.2.
Compliance Takeaways:

  1. Sometimes a CCO must make a stand and speak truth to power.
  2. How is a root cause analysis different than an investigation?
  3. Why you should train for crisis management.
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Trekking Through Compliance

Trekking Through Compliance-Episode 41 – The Deadly Years


In this episode of Trekking Through Compliance, we consider the episode The Deadly Years which aired on December 8, 1967, Star Date 3478.2.
Compliance Takeaways:

  1. Just because research is discontinued does not mean it is invalid.
  2. Training-Why was Chekov’s reaction like that of a schoolboy?
  3. How do you show the quality, ability and competence of your compliance team?
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Trekking Through Compliance

Trekking Through Compliance-Episode 40 – Friday’s Child


In this episode of Trekking Through Compliance, we consider the episode Friday’s Child which aired on December 1, 1967, Star Date 3497.2.
Compliance Takeaways:

  1. The three C’s of leadership.
  2. How do you react when the leader goes off the deep end?
  3. Train your employees what to do when faced with a bribe demand.
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Trekking Through Compliance

Trekking Through Compliance-Episode – 39 Journey to Babel


In this episode of Trekking Through Compliance, we consider the episode Journey to Babelwhich aired on November 20, 1967, Star Date 3842.3.
Compliance Takeaways:

  1. HR is key ally of the compliance function.
  2. Dynamic tensions between employees must be resolved.
  3. Be careful in freewheeling banter.