Tag: Star Trek TOS

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Trekking Through Compliance

Trekking Through Compliance-Episode 38 – Metamorphosis


In this episode of Trekking Through Compliance, we consider the episode Metamorphosis which aired on November 13, 1967, Star Date 4513.3.
Compliance Takeaways:

  1. As a CCO you may have a lawyer background but you must act as a compliance professional.
  2. Prejudice has no place in today’s corporate culture
  3. How do you evaluate your senior leadership from the business perspective?
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Trekking Through Compliance

Trekking Through Compliance-Episode – 36 Catspaw


In this episode of Trekking Through Compliance, we consider the episode Catspaw which aired on October 27, 1967, Star Date 3018.2.
Compliance Takeaways:

  1. Why ego is part of Jonathan Mark’s Fraud Pentagon.
  2. Fraudsters need a dupe and the term ‘Catspaw’ describes a person who is used as a dupe.
  3. How much can you do with the tools you have at hand?
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Trekking Through Compliance

Trekking Through Compliance-Episode 34- The Doomsday Machine

In this episode of Trekking Through Compliance, we consider the episode The Doomsday Machine which aired on October 20, 1967, Star Date 4202.9.
Compliance Takeaways:

  1. How do you terminate a third party?
  2. How do you evaluate your risk assessment?
  3. How does your organization respond to findings in an investigation?
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Trekking Through Compliance

Trekking Through Compliance-Episode 33-The Apple

In this episode of Trekking Through Compliance, we consider the episode The Apple  which aired on October 13, 1967, Star Date 3715.0.
 Compliance Takeaways:

  1. How do you validate that your policies are being followed?
  2. If Red Shirts are always going to die, how do you manage that risk?
  3. What is the Board of Director’s role in compliance?
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Trekking Through Compliance

Trekking Through Compliance-Episode 32-Mirror Mirror

In this episode of Trekking Through Compliance, we consider the episode Mirror Mirror which aired on October 6, 1967, Star Date unknown.
Compliance Takeaways:

  1. Tone really does start at the top.
  2. How do you change your compliance functions within an organization?
  3. High risk requires high risk management.

 

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Trekking Through Compliance

Trekking Through Compliance-Episode 31-The Changeling

In this episode of Trekking Through Compliance, we consider the episode The Changeling which aired on September 29, 1967, Star Date 3451.9.
 Compliance Takeaways:

  1. Leadership is listening.
  2. What is your procedure for updating policies?
  3. How often do you perform a risk assessment?
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Trekking Through Compliance

Trekking Through Compliance-Episode 30 – Who Mourns for Adonais?

In this episode of Trekking Through Compliance, we consider the episode Who Mourns for Adonais? which aired on September 22, 1967, Star Date 3468.1.
 Compliance Takeaways:

  1. What is your role in an investigation?
  2. How does your senior management demonstrate tone?
  3. What are the true incentives in your organization?
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Trekking Through Compliance

Trekking Through Compliance-Episode 29 – Amok Time

In this episode of Trekking Through Compliance, we consider the episode Amok Time which aired on September 15, 1967, Star Date 3372.7.
 Compliance Takeaways:

  1. What is your investigation protocol?
  2. How do you account for different cultures within your organization?
  3. When is an internal control override appropriate?
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Trekking Through Compliance

Trekking Through Compliance-Episode 28, Operation Annihilate!

In this episode of Trekking Through Compliance, we consider the episode Operation Annihilate! which aired on April 13, 1967, Star Date 3287.2.
Compliance Takeaways:

  1. Leadership can require difficult decisions.
  2. Data analytics will be key for compliance professionals going forward.
  3. What is your triage program for internal reporting?

Resources
Excruciatingly Detailed Plot Summary by Eric W. Weisstein for Operation Annihilate!
MissionLogPodcast.com-Operation Annihilate!

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Trekking Through Compliance

Trekking Through Compliance-Episode 27, City on the Edge of Forever

In this episode of Trekking Through Compliance, we consider the episode City on the Edge of Forever which aired on April 6, 1967, Star Date 3134.
Compliance Takeaways:

  1. Small accidents and changes can lead to huge consequences.
  2. You can get a lot more done, if you don’t worry about who gets credit.
  3. How much can you do with the tools you have at hand?