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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.
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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.