Tag: Star Trek TOS

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Trekking Through Compliance

Trekking Through Compliance-Episode 26-The Alternative Factor

In this episode of Trekking Through Compliance, we consider the episode The Alternative Factor which aired on March 23, 1967, Star Date 3087.6.
Compliance Takeaways:

  1. How do you triage a whistleblower compliant?
  2. When expanding into new markets scale up your compliance program.
  3. What is the role of gatekeepers?
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Trekking Through Compliance

Trekking Through Compliance-Episode 25-Errand of Mercy

In this episode of Trekking Through Compliance, we consider the episode Errand of Mercy which aired on March 16, 1967, Star Date 3194.8.
Compliance Takeaways:

  1. In an investigation, trust but verify.
  2. If your subsidiary’s financial statements are too complicated to decipher, you have a problem.
  3. Do you know how far down your TPIs extend?
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Trekking Through Compliance

Trekking Through Compliance-Episode 24-Devil in the Dark

In this episode of Trekking Through Compliance, we consider the episode Devil in the Dark which aired on March 9, 1967, Star Date 3196.1.
Compliance Takeaways:

  1. What is your root cause analysis?
  2. Have you analyzed your internal controls from the compliance perspective?
  3. Simply because something is different doesn’t means its wrong or illegal. Is there a business justification?
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Trekking Through Compliance

Trekking Through Compliance-Episode 23-This Side of Paradise

In this episode of Trekking Through Compliance, we consider the episode This Side of Paradise which aired on March 2, 1967, Star Date 3417.3.
Compliance Takeaways:

  1. What are the unknown talents of your staff?
  2. Failure to continuously monitor can lead to disaster.
  3. What is the role of all your team members?
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Trekking Through Compliance

Trekking Through Compliance-Episode 21-Return of the Archons

In this episode of Trekking Through Compliance, we consider the episode Return of the Archons which aired on February 9, 1967, Star Date 3156.2
Compliance Takeaways:
  1. Is the Prime Directive absolute or is there room for flexibility?
  2. Groupthink can kill off a civilization or corporation.
  3. AI will always be enhanced by human interactions and interpretations.
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Trekking Through Compliance

Trekking Through Compliance-Episode 20-Court Martial

In this episode of Trekking Through Compliance, we consider the episode Court Martial which aired on February 2, 1967, Star Date 2947.3.
Compliance Takeaways:

  1. Have you tied down your documents before your investigation begins?
  2. Your investigation can change based upon facts on the ground.
  3. Never forget in a FCPA enforcement action, each lawyer represents his or her client.

 

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Trekking Through Compliance

Trekking Through Compliance-Episode 19-Tomorrow is Yesterday

In this episode of Trekking Through Compliance, we consider the episode Tomorrow is Yesterday which aired on January 26, 1967, Star Date 3113.2.
Compliance Takeaways:
  1. Sometimes unexpected developments can cause higher risk.
  2. What is your investigation protocol?
  3. How do you onboard new employees on your corporate culture?
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Trekking Through Compliance

Trekking Through Compliance-Episode 17- The Squire of Gothos

In this episode of Trekking Through Compliance, we consider the episode The Squire of Gothos which aired on January 12, 1967, Star Date 2124.5.
Compliance Takeaways:

  1. What to make when basic science is so wrong (Alternative facts?)
  2. What happens when everything is ‘too easy’?
  3. What is country manager risk?

Resources
Excruciatingly Detailed Plot Summary by Eric W. Weisstein for TheSquire of Gothos
MissionLogPodcast.com-The Squire of Gothos  

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Trekking Through Compliance

Trekking Through Compliance-Episode 16- The Galileo Seven

In this episode of Trekking Through Compliance, we consider the episode The Galileo Seven which aired on January 5, 1967, Star Date 2821.5.
 Compliance Takeaways:

  1. Why sometimes you must adhere to a culture’s traditions.
  2. What is risk?
  3. As a leader and CCO, you have to adjust to the facts on the ground.

Resources
Excruciatingly Detailed Plot Summary by Eric W. Weisstein for TheGalileo Seven
MissionLogPodcast.com-Galileo Seven  

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Trekking Through Compliance

Trekking Through Compliance-Episode 15- Shore Leave

In this episode of Trekking Through Compliance, we consider the episode Shore Leave  which aired on December 29, 1966, Star Date 3025.3.
 Compliance Takeaways:

  1. When you see a fact from your past, interpret in light of your current situation.
  2. What is risk?
  3. As a leader and CCO, sometimes you just have to have a little fun.

Resources
Excruciatingly Detailed Plot Summary by Eric W. Weisstein for Shore Leave
MissionLogPodcast.com- Shore Leave