DateTime Object ( [date] => 2019-11-13 10:54:38.689168 [timezone_type] => 3 [timezone] => UTC )

Array ( [id] => 02286c72-03e4-11ea-96f8-e72a18826786 [createdAt] => 2019-11-10T13:00:41.171-05:00 [updatedAt] => 2019-11-10T13:01:06.700-05:00 [title] => Episode 452, Mike Volkov on the Hoskins Jury Verdict [pubdate] => 2019-11-11T00:00:00.000-05:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/02286c72-03e4-11ea-96f8-e72a18826786/image/uploads_2F1573407151296-miu3hyloycg-3cfea0568cc249321fee7687c1bd1a90_2FFCPAComplianceReport2.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => In this episode of the FCPA Compliance Report, I visit with Mike Volkov on the Hoskins guilty verdict returned by the jury last week. [summary] =>

In this episode I visit with Mike Volkov about the Hoskins verdict, which was announced on Friday, November 8. In it Lawrence Hoskins was found guilty on six counts of violating the FCPA, three counts of money laundering, and two counts of conspiracy. Hoskins was acquitted on one money laundering count. We explore this case from the trial perspective. Some of the highlights include:

·        What was the significance of the verdict?

·        What evidence did the prosecutors have to put forward to prove agency?

·        How do prosecutors think through jury presentations?

·        Did the fact that Hoskins basic defense was that he was in charge of a criminal conspiracy and not an agent play poorly in front of the jury ?

·        What might all this mean for FCPA prosecutions going forward? How about internal investigations?

·        What does this case say about being the first to cooperate?

·        What signal does this case say about DOJ prosecution of individuals under the FCPA?

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Array ( [id] => 4d3dc266-fb47-11e9-ae13-f7a10c8723c8 [createdAt] => 2019-10-30T14:58:46.848-04:00 [updatedAt] => 2019-11-03T11:45:58.343-05:00 [title] => Pamela Fierst-Walsh on the Kimberley Process [pubdate] => 2019-11-03T11:38:21.000-05:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/4d3dc266-fb47-11e9-ae13-f7a10c8723c8/image/uploads_2F1572461719299-iikuxvr2cu9-c5ce0587806dd7c6e9ac73e16b823665_2FExcellence%2Bin%2BTraining.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 451 [subtitle] => What is the Kimberley Process? Find out as I visit with Pamela Fierst-Walsh, who works at the US State Department as the Senior Advisor on Conflict & Critical Minerals and U.S. Representative to the Kimberley Process. [summary] =>

In this episode I visit with Pamela Fierst-Walsh, who works at the US State Department as the Senior Advisor on Conflict & Critical Minerals and U.S. Representative to the Kimberley Process. Every compliance professional needs to understand not only responsible sourcing but the Kimberley Process and how it relates to anti-corruption compliance. Some of the highlights include:

• What is Pamela’s role as the Senior Advisor on Conflict & Critical Minerals and U.S. Representative to the Kimberley Process.
• What is the Kimberly Process?
• Who developed it?
• How does it relate to conflict mineral initiatives? Responsible sourcing?
• How does the US State Department support the Kimberley Process?
• Where could listeners go for more information?

 Resources 

For more on the Kimberley Process, click here.

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Array ( [id] => 16d71f5e-f8ce-11e9-9c9e-87fec48cfdb5 [createdAt] => 2019-10-27T08:26:04.174-07:00 [updatedAt] => 2019-10-27T08:45:14.710-07:00 [title] => Episode 450-Steven Lofchie and the Cadwalader Cabinet [pubdate] => 2019-10-27T21:01:00.000-07:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/16d71f5e-f8ce-11e9-9c9e-87fec48cfdb5/image/uploads_2F1572189858474-chcf0z0701d-61518473a978b65a18b7e5bdac56095e_2FFCPAComplianceReport2.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 450 [subtitle] => In this episode I visit with Steven Lofchie, a partner in the NYT office of Cadwalader, Wickersham and Taft, on the firm's new resource called The Cadwalader Cabinet. [summary] =>

In this episode I visit with Steven Lofchie, a partner in the NYT office of Cadwalader, Wickersham and Taft. Lofchie and his team have developed an incredible new resource called The Cadwalader Cabinet, which is the “Go To One-Stop Shop” for attorneys and regulators operating in the US financial services sector. Lofchie is the Mastermind behind the Cabinet, this intelligence and knowledge management platform. Some of the highlights include:

 

• What led to the creation of the Cadwalader Cabinet?
• What market need/opportunity did you see that the Cadwalader Cabinet fills?
• Why is the Cadwalader Cabinet “Go To One-Stop Shop” for attorneys and regulators operating in the US financial services sector?
• What are some of the Power links in the Cadwalader Cabinet?
• Some of other materials available on the Cadwalader Cabinet include expected rules, regs, statutes, but also includes hot topics like Reg BI, LIBOR, Cryptocurrencies, Cannabis Finance and of course FCPA related materials.

Resources

To check out the Cadwallader Cabinet, click here. Best of all, mention this podcast and receive a free trial.

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Array ( [id] => 83a119d2-f1b7-11e9-b2ca-1fce92075666 [createdAt] => 2019-10-18T16:56:50.100+02:00 [updatedAt] => 2019-10-19T17:28:40.887+02:00 [title] => Francine McKenna with an update on the KPMG-PCAOB Scandal [pubdate] => 2019-10-21T06:00:00.000+02:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/83a119d2-f1b7-11e9-b2ca-1fce92075666/image/uploads_2F1571498905636-1ywhby7e2a3-72824d3ad607b3a22f273e59075c15bf_2FFCPAComplianceReport2.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 449 [subtitle] => In this episode I visit with Francine McKenna, a reporter at MarketWatch. We check in on the current developments in the KPMG-PCAOB scandal including recent guilty pleas, sentencing and where the matter might finally be headed. [summary] =>

In this episode I visit with one of my favorite people, Francine McKenna, a reporter at MarketWatch. We check in on the current developments in the KPMG-PCAOB scandal including recent guilty pleas, sentencing and where the matter might finally be headed. Some of the highlights include:

·       A review of the Indictment and underlying facts.

·       A review of the horrendous facts about KPMG that came out during the March trial.  

·       What does it say about the PCAOB that two of its former Board members were witnesses for the defense in the trial? 

·       What did all this mean for KPMG head Lynne Doughtie? What does all this mean for audit independence, particularly in the Jay Clayton era at the SEC?

·       Where can listeners go for more information?

Resources

Francine McKenna on MarketWatch

MarketWatch website

Re: The Auditors blogsite

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Array ( [id] => e1c6ef6c-edb3-11e9-b5a2-ef5b1d7aa8e1 [createdAt] => 2019-10-13T08:20:45.421-04:00 [updatedAt] => 2019-10-13T13:14:25.301-04:00 [title] => Parth Chanda on integrating data analytics into a compliance platform [pubdate] => 2019-10-14T00:10:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/e1c6ef6c-edb3-11e9-b5a2-ef5b1d7aa8e1/image/uploads_2F1570969185599-pz16ofbltuf-21599b6de11ec30cd1b042e0a9d0cf0d_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 448 [subtitle] => In this episode I visit with Parth Chanda, CEO of Lextegrity, a leading technology platform that combines the up-front due diligence approval of planned third-party spend with the analysis of actual spend — focused on fraud, corruption and conflicts of interest. [summary] =>

In this episode I visit with Parth Chanda, CEO of Lextegrity, a leading technology platform that combines the up-front due diligence approval of planned third-party spend with the analysis of actual spend — focused on fraud, corruption and conflicts of interest. Some of the highlights include: ·       Professional background for Chanda, with nearly 20 years in compliance.·       Some of the problems the Lextegrity Integrity platform is addressing with for compliance professionals?  ·       What traditional challenges do CCO’s face when they try to deploy compliance monitoring solutions? They include:a.     Employees lacking sufficient tools to assess risk and take ownership of their own compliance.b.     Complex reports or analytics for the business users not user-friendly or intuitive.c.      Too few legal, compliance, IT and anti-fraud resources to support the business or continuous monitoring efforts.d.     Disorganized and disparate data stores.e.     Risks managed in multiple systems that don’t “talk to each other” or require duplicate entry or manual data input processes.f.      Not having real-time analytics, reporting or monitoring, which leads to missed anomalies and patterns.·       In September’s FRAUD Magazine innovation column authored by Vincent Walden he quoted you for the following, “Avoiding professional biases in your fraud risk management program”.  How does the Lextegrity platform help avoid bias and integrating typical compliance functions with traditional internal audit functions?·       How does the Lextegrity platform integrate both pre-approvals and monitoring?  What are the benefits to that as compared to what’s in the market?·       What’s the benefits to General Counsels and heads of investigations from the platform and about how the machine learning aspects help companies be more strategic and effective? ·       What advice do you have for CCOs and General Counsels when they are evaluating the use of data analytics into their compliance program?·       Where can listeners go for more information? ResourcesParth ChandaLextegrity websiteArticle “Avoiding Bias in Your Fraud Management Program” by Vince Walden in September/October issue of Fraud Magazine

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Array ( [id] => ae69d4c0-eb8a-11e9-abaf-9b7775608572 [createdAt] => 2019-10-10T14:20:47.553-04:00 [updatedAt] => 2019-10-13T05:39:20.058-04:00 [title] => Why Culture Matters-Episode 5, How is ethical culture a part of an overall ethics and compliance assessment? [pubdate] => 2019-10-14T00:08:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/ae69d4c0-eb8a-11e9-abaf-9b7775608572/image/uploads_2F1570959548546-tr0y8jv322s-0d8b24f044148832a64dc1b9d8765c1d_2FOct.Culture.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => In this five-part podcast series sponsored by AMI, I visit with Jay Rosen on why culture matters. In Episode 5, we consider how ethical culture is a part of an overall ethics and compliance assessment. [summary] =>

Welcome to this special five-part podcast series with Jay Rosen, VP of Business Development for Affiliated Monitors, Inc. (AMI), who is the sponsor of this podcast series. Corporate culture exists in the space between what an organization professes and what it does. In this series Jay and I will be exploring key aspects of corporate culture, including why it matters, what influences culture, the CCOs role in culture, assessing corporate culture and how to use that information to improve culture. In this concluding Part V, we consider how an ethical culture is a part of an overall ethics and compliance assessment.

 Highlights include:Begin with framework for such an assessment, usually the compliance program itself.Is your training both focused and effective?Is there institutional fairness in your promotion and compensation programs?Is there institutional justice around reporting, discipline and investigations?Is your compliance program a paper program or is it fully operationalized?Is there accountability in your organization?For more information see Jay’s blog post How is ethical culture a part of an overall ethics and compliance assessment? on Corporate Compliance Insights.

For more information on Affiliated Monitors, Inc. check out their website here.

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Array ( [id] => 18c8bdc8-eb8a-11e9-abaf-df421a78e706 [createdAt] => 2019-10-10T14:16:36.519-04:00 [updatedAt] => 2019-10-13T05:32:09.093-04:00 [title] => Why Culture Matters-Episode 4, How Does a Company Assess its Culture? [pubdate] => 2019-10-14T00:06:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/18c8bdc8-eb8a-11e9-abaf-df421a78e706/image/uploads_2F1570959115920-m9l30mqmpve-f3d29d68036ae8440a1b01e5c9074f13_2FOct.Culture.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => In this five-part podcast series sponsored by AMI, I visit with Jay Rosen on why culture matters. In Episode 4, we consider how a company can assess its culture. [summary] =>

Welcome to this special five-part podcast series with Jay Rosen, VP of Business Development for Affiliated Monitors, Inc. (AMI), who is the sponsor of this podcast series. Corporate culture exists in the space between what an organization professes and what it does. In this series Jay and I will be exploring key aspects of corporate culture, including why it matters, what influences culture, the CCOs role in culture, assessing corporate culture and how to use that information to improve culture. In this Part IV, we consider how to assess your corporate culture.  Highlights include: ·      Who should perform the assessment of corporate culture? ·      An in-house resource may be seen as more ongoing monitoring than culture assessment. ·      Conversely an independent outside expert may be able to garner more fulsome information of the true state of your corporate culture.·      Tools to assess the culture of an organization include employee surveys, conversations, visits to field operations. ·      What are the differences, if any, which must be considered when assessing a global company?·      Why do you need to “fine-tune” a cultural survey to get a good understanding of the company’s culture and obtain meaningful metrics? ·      The bottom line is you should take the temperature of your employees internally by doing regular monitoring of your company to understand its culture and what needs to be done. Please join us for our concluding Episode 5, where we bring it all together and consider how ethical culture is a part of an overall ethics and compliance assessment. For more information see Jay’s blog post How does a company assess its culture? on Corporate Compliance Insights. For more information on Affiliated Monitors, Inc. check out their website here. 

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Array ( [id] => 3d6e26d2-eb89-11e9-bee5-171b8febc91a [createdAt] => 2019-10-10T11:10:28.504-07:00 [updatedAt] => 2019-10-13T02:30:21.830-07:00 [title] => Why Culture Matters-Episode 3, the Role of the CCO in Culture [pubdate] => 2019-10-13T21:04:00.000-07:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/3d6e26d2-eb89-11e9-bee5-171b8febc91a/image/uploads_2F1570958989681-23yomxka0pv-f0eb30a629864ffb31b82e23deed2201_2FOct.Culture.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => In this five-part podcast series sponsored by AMI, I visit with Jay Rosen on why culture matters. In Episode 3, we consider the role of the CCO in Corporate Culture. [summary] =>

Welcome to this special five-part podcast series with Jay Rosen, VP of Business Development for Affiliated Monitors, Inc. (AMI), who is the sponsor of this podcast series. Corporate culture exists in the space between what an organization professes and what it does, yet who bears the responsibility for establishing and maintaining an ethical culture? In this series Jay and I will be exploring key aspects of corporate culture, including why it matters, what influences culture, the CCOs role in culture, assessing corporate culture and how to use that information to improve culture. In this Part III, we consider to what extent the Chief Compliance Officer (CCO) should be involved in shaping a culture of ethics and driving ethical behavior.Highlights include: ·      Who bears the responsibility for culture? ·      The duty most often falls to the CCO, so both the CCO and the entire compliance function need to be able to coordinate the various inputs and support mechanisms that guide employee behavior.·      The CCO is often the face of the ethics program for the company – kind of the spokesperson for the company who helps to drive behavior.·      In hiring and recruiting, a CCO can create a culture where an organization would only hire the right type of people as employees. ·      When managing upward, the CCO has an equally critical mandate through unfettered access to provide information to the Board regarding the compliance and ethics posture at the company, specifically including the culture.·      What are the warning signs of an unethical culture? ·      It is up to the CCO to understand and have their finger on what the culture is, where the challenges are and what needs to be done to continually strengthen the culture. Please join us for Episode 4, where we explore how a company can begin to assess its own culture. For more information see Jay’s blog post What is the CCO’s Role in Strengthening the Organization’s Culture of Ethics?on Corporate Compliance Insights.  For more information on Affiliated Monitors, Inc. check out their website here. 

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Array ( [id] => 021e31b6-eb85-11e9-8ca0-db957226814d [createdAt] => 2019-10-10T10:40:10.997-07:00 [updatedAt] => 2019-10-13T02:27:11.623-07:00 [title] => Why Culture Matters-Episode 2, What Factors Influence a Company’s Culture [pubdate] => 2019-10-13T21:02:00.000-07:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/021e31b6-eb85-11e9-8ca0-db957226814d/image/uploads_2F1570958815030-x7ghmfqshvl-85f20eec14cbb1ed23a4b6af55ed0d1c_2FOct.Culture.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => In this five-part podcast series sponsored by AMI, I visit with Jay Rosen on why culture matters. In Episode 2, we consider what can influence an organization’s ethical culture, starting at the top with senior leadership. [summary] =>

Welcome to this special five-part podcast series with Jay Rosen, VP of Business Development for Affiliated Monitors, Inc. (AMI), who is the sponsor of this podcast series. Corporate culture exists in the space between what an organization professes and what it does. It is important to pay attention to corporate culture as disconnects in this reality can be quite costly. Yet what factors influence corporate culture. In this series Jay and I will be exploring key aspects of corporate culture, including why it matters, what influences culture, the CCOs role in culture, assessing corporate culture and how to use that information to improve culture. In this Part II, we consider what can influence an organization’s ethical culture, starting at the top with senior leadership. We consider such questions as whether your senior leaders practice what they preach as employees can spot a disconnect from a mile away.

 Highlights include:A company does not have an ethical culture unless top management commits to it.Equally important is a sense of organizational justice and fairness.One of the key elements of effective leadership is listening and that also applies to a company’s culture.Do senior leadership give their people the opportunity to be heard?Do senior leaders get out of the ivory tower, go out into the field and meet with employees?Are there town halls or other types of group interactions?Do the employees see whether their leaders are living those kinds of values?It is crucial for perception to equal reality.The bottom line is there must be alignment between what top management says and the company’s core values – between what the organization says and what it does.Please join us for Episode 3, where we explore the role of a Chief Compliance Officer in strengthening the ethical culture of the organization.

For more information see Jay’s blog post What Factors Influence a Company’s Ethical Culture? on Corporate Compliance Insights.

For more information on Affiliated Monitors, Inc. check out their website here.

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Array ( [id] => 41cfafca-eb84-11e9-9ea0-0b1d5250f8bb [createdAt] => 2019-10-10T10:34:48.367-07:00 [updatedAt] => 2019-10-13T02:24:22.085-07:00 [title] => Why Culture Matters-Episode 1, What is Ethical Culture and Why Does it Matter [pubdate] => 2019-10-13T21:00:00.000-07:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/41cfafca-eb84-11e9-9ea0-0b1d5250f8bb/image/uploads_2F1570958654991-l5er79wwqdm-b2214bc5e037396b7bfba5b2823f974a_2FCulture%2BMatters_linkedin.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => In this five-part podcast series sponsored by AMI, I visit with Jay Rosen on why culture matters. In Episode 1, we introduce what is an ethical culture and why does it matter. [summary] =>

Welcome to this special five-part podcast series with Jay Rosen, VP of Business Development for Affiliated Monitors, Inc. (AMI), who is the sponsor of this podcast series. Corporate culture exists in the space between what an organization professes and what it does. It is important to pay attention to corporate culture as disconnects in this reality can be quite costly. Witness the continuing imbroglio surrounding Wells Fargo. In this series Jay and I will be exploring key aspects of corporate culture, including why it matters, what influences culture, the CCOs role in culture, assessing corporate culture and how to use that information to improve culture. In this Part I, we consider what is ethical culture and why does it matter.

 Highlights include:An exploration of the question “what is corporate culture”?Corporate culture is the way things really arein an organization and the way things really work.There may be more than one culture in an organization and there might well be multiple subcultures in a company.M&A due diligence around culture is critical.What different kinds of cultural systems could impact a company?Why is having a “speak up” culture a key indication of a strong ethical culture?How can an organization hold its employees throughout the organization accountable?Why must there must be an alignment between what top management says and the company’s core values to have an effective culture?Please join us for Episode 2, where we will explore the factors that influence a company’s ethical culture.

For more information see Jay’s blog post What is Ethical Culture and Why Does it Matter? on Corporate Compliance Insights.

For more information on Affiliated Monitors, Inc. check out their website here.

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Array ( [id] => eab592ba-e861-11e9-9aff-8b90fa696e36 [createdAt] => 2019-10-06T19:51:25.857+02:00 [updatedAt] => 2019-10-06T19:51:44.192+02:00 [title] => Joe Gerard on Conducting Fraud Investigations with Case Management Software [pubdate] => 2019-10-07T06:00:00.000+02:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/eab592ba-e861-11e9-9aff-8b90fa696e36/image/uploads_2F1570383682740-hepdyqasx9q-411d0813ba2caadbf4c1f2b03e56ac57_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => In this episode, I visit with Joe Gerard, CEO at I-Sight SW on how case management software improves your fraud and corruption investigations. [summary] =>

In this episode I visit with Joe Gerard, CEO of i-Sight Software. We consider i-Sight’s recent eBook, Conducting Fraud Investigations with Case Management Software and how case management software facilitates the investigative process. Some of the highlights include: What is iSight Software and what are some of its services, products and tools. What is Case Management Software?How does it assist corporate fraud investigations? How does it help both accuracy and speed?Gerard provides an example of how case management SW works.How case management SW streamlines a pre-existing investigative process?What is the ROI of case management SW?What are some of the differences between homegrown case management solutions (or worse yet—spreadsheets) and case management SW?Where can listeners go for more information? ResourcesJoe Gerardi-Sight SoftwareeBook on Conducting Fraud Investigations with Case Management SW

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In this special five-part podcast series, I have visited with Phil Fry, VP, Go To Market at Verint, which is the sponsor of this podcast series. In this podcast series, we consider how Verint is changing the future of financial compliance by challenging the accept wisdom through capture, control, sustainability & oversight. I found this process as useful to think through a wide range and assortment of compliance issues for any compliance field: anticorruption compliance; trade compliance; AML compliance or any other type of compliance. Today in this concluding Part 5, we tie it all together, through a discussion of oversight of you the entire process. (The Verint process is so innovative, I have cross-posted the entire series on Innovation in Compliance this week as well.) For more information on Verint, check out their website here.

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In this special five-part podcast series, I visit with Phil Fry, VP, Go To Market at Verint, which is the sponsor of this podcast series. In this podcast series, we consider how Verint is changing the future of financial compliance by challenging the accept wisdom through capture, control, sustainability & oversight. I found this process as useful to think through a wide range and assortment of compliance issues for any compliance field: anticorruption compliance; trade compliance; AML compliance or any other type of compliance. Today in Part 4, we discuss sustainability. (The Verint process is so innovative, I have cross-posted the entire series on Innovation in Compliance this week as well.) Verint, a provider of reactive, active and proactive compliance solutions for the new regulatory environment.

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Array ( [id] => f85b9e14-e5cd-11e9-bcfc-e7c1552cfe0a [createdAt] => 2019-10-03T13:07:20.916+02:00 [updatedAt] => 2019-10-03T13:07:42.270+02:00 [title] => The Future of Financial Compliance-Challenging Accepted Wisdom [pubdate] => 2019-10-03T13:03:52.000+02:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/f85b9e14-e5cd-11e9-bcfc-e7c1552cfe0a/image/uploads_2F1570100733639-0l8zzf2wk8r-e4f17e7c7ebcd7daf60f246f3ef5b494_2FVerint%2BPodcasts%2BArtwork.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => Verint takes a unique approach to financial compliance. Verint does not accept that legacy solutions and methods are good enough for its client’s needs but challenges the conventional wisdom and accepted practices. In this Episode 1, we introduce the concept of the Verint Process. [summary] =>

In this special five-part podcast series, I visit with Phil Fry, VP Go To Market at Verint, which is the sponsor of this podcast series. In this podcast series, we consider how Verint is changing the future of financial compliance by challenging the accept wisdom through capture, control, sustainability & oversight. I found this process as useful to think through a wide range and assortment of compliance issues for any compliance field: anticorruption compliance; trade compliance; AML compliance or any other type of compliance. Today in Part 1, we begin with an overview of the process.

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Array ( [id] => c14590aa-e236-11e9-bfdc-a38c539d18f0 [createdAt] => 2019-09-28T17:27:20.998-04:00 [updatedAt] => 2019-09-29T13:12:23.672-04:00 [title] => The Future of Financial Compliance: Control [pubdate] => 2019-10-02T10:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/c14590aa-e236-11e9-bfdc-a38c539d18f0/image/uploads_2F1569705952787-m4fdd1ptaz8-91dcc62f7daa989cdcc16dc4469cd8cb_2FVerint%2BPodcasts%2BArtwork.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => 3 [subtitle] => Today in Part 3, we discuss control. [summary] =>

In this special five-part podcast series, I visit with Phil Fry, VP Go To Market at Verint, which is the sponsor of this podcast series. In this podcast series, we consider how Verint is changing the future of financial compliance by challenging the accept wisdom through capture, control, sustainability & oversight. I found this process as useful to think through a wide range and assortment of compliance issues for any compliance field: anticorruption compliance; trade compliance; AML compliance or any other type of compliance. Today in Part 3, we discuss control. (The Verint process is so innovative, I have cross-posted the entire series on Innovation in Compliance this week as well.)  Verint, a provider of reactive, active and proactive compliance solutions for the new regulatory environment.

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Array ( [id] => 2a267116-e237-11e9-8f3a-3317b4f1db1d [createdAt] => 2019-09-28T14:30:16.960-07:00 [updatedAt] => 2019-09-29T10:06:22.652-07:00 [title] => The Future of Financial Compliance: Capture [pubdate] => 2019-10-01T07:00:00.000-07:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/2a267116-e237-11e9-8f3a-3317b4f1db1d/image/uploads_2F1569706190001-w0jfx86wrt-6da295603368d88bd977db2766e78bc3_2FVerint%2BPodcasts%2BArtwork.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => 2 [subtitle] => In this episode 2, we discuss why interaction capture is so important and how it is affected by the latest communication technologies. [summary] =>

In this special five-part podcast series, I visit with Phil Fry, VP Go To Market at Verint, which is the sponsor of this podcast series. In this podcast series, we consider how Verint is changing the future of financial compliance by challenging the accept wisdom through capture, control, sustainability & oversight. I found this process as useful to think through a wide range and assortment of compliance issues for any compliance field: anticorruption compliance; trade compliance; AML compliance or any other type of compliance. Today in Part 2, we discuss capture. (The Verint process is so innovative, I have cross-posted the entire series on Innovation in Compliance this week as well.)  Verint, a provider of reactive, active and proactive compliance solutions for the new regulatory environment.

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Array ( [id] => 2a6d14ca-e0cc-11e9-8187-cb93cb86bf27 [createdAt] => 2019-09-26T22:11:50.109-04:00 [updatedAt] => 2019-09-27T08:41:32.262-04:00 [title] => Episode 446-Matthew Jacobs on the Juniper Networks FCPA Resolution [pubdate] => 2019-09-30T00:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/2a6d14ca-e0cc-11e9-8187-cb93cb86bf27/image/uploads_2F1569550154880-zri9fd9e5kd-95fdfd50bca4a1d2c23e47e0b4cc8b4a_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => In this episode I visit with Matthew Jacobs, who represented the Audit Committee of the Board of Directors of Juniper Networks in the company’s recently concluded FCPA enforcement action. [summary] =>

In this episode I visit with Matthew Jacobs, a partner at Vinson & Elkins in San Francisco who represented the Audit Committee of the Board of Directors of Juniper Networks in the company’s recently concluded FCPA enforcement action.  In addition to his discussion his work on the matter we discussed some interesting questions about representation during the pendency of a FCPA investigation. Some of the highlights include:

Initial retention by the Audit Committee and the scope of the assignment?Why the settlement was so favorable to the company?How the company is in a stronger position now to stay in compliance with the FCPA and other international anticorruption laws today.When should there be separate counsel for company and audit committee?Why do cases take so long and how does that help or hurt the company?What is the role of management changes in the resolution of a FCPA enforcement action?How has the interest of the government in compliance changed?Where does the disgorgement issue fit in settlement discussions?What is the effect of the government deferring to internal investigations?Resources Matthew Jacobs, V&E website.

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Array ( [id] => b2931f12-db1c-11e9-8a18-d3ab0f20321e [createdAt] => 2019-09-19T16:33:11.291-04:00 [updatedAt] => 2019-09-19T16:33:23.306-04:00 [title] => Episode 445- Shon Ramey on the Navex Global Acquisition of Lockpath [pubdate] => 2019-09-23T00:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/b2931f12-db1c-11e9-8a18-d3ab0f20321e/image/uploads_2F1568925138488-hvv65woymdm-ad0647c07de4798d844be91bd1a5c90d_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => In this episode I visit with Shon Ramey, General Counsel at Navex Global. We discuss Navex’s recent acquisition of Lockpath. In addition to his discussion on how Lockpath fits into the strategic plan of Navex Global, Ramey discusses his approach to mergers and acquisitions. [summary] =>

In this episode I visit with Shon Ramey, General Counsel at Navex Global. We discuss Navex’s recent acquisition of Lockpath. In addition to his discussion on how Lockpath fits into the strategic plan of Navex Global, Ramey discusses his approach to mergers and acquisitions. Highlights from the podcast include:Why did Navex Global see this acquisition of Lockpath as an opportunity?How does this acquisition provide Navex Global with a more holistic approach to GRC solutions?Cyber security and data breaches have become an important part of M&A pre-acquisition Due Diligence. Can you outline your approach to these issues?Why is it important to have a defined acquisition procedure, which details an acquisition from pre-contact of a target through full integration in place?As the top lawyer for an ethics and compliance software and risk management, you must be hyper-aware of the myriad threats facing companies these days. What, in your experience, are some of the threats most overlooked by businesses?For additional information, see Navex Global Press Release announcing the sale.

See article by Phillip Bantz in Corporate Counsel entitled “NAVEX Global General Counsel Discusses M&A Due Diligence”.

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Array ( [id] => 3fa1e8b2-d801-11e9-9599-efb9dd589623 [createdAt] => 2019-09-15T23:39:08.554+02:00 [updatedAt] => 2019-09-15T23:41:59.668+02:00 [title] => Jim Murphy on the Dangers in Using Slack [pubdate] => 2019-09-16T06:00:00.000+02:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/3fa1e8b2-d801-11e9-9599-efb9dd589623/image/uploads_2F1568583158238-awbsy9jq6ag-8713830d5a18b49de1001cfecf3353c5_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 444 [subtitle] => What are some of the compliance and investigative dangers from the use of the communication tool Slack? Find out on this episode of the FCPA Compliance Report [summary] =>

In this episode I visit with podcast favorite Jim Murphy, who is the VP of Products at Hanzo. We discuss a recent article by Murphy which appeared on Corporate Compliance Insights and was entitled, The Shark in the Wave: Revealing the Lurking Danger of Slack Data.It detailed the dangers from Slack from a compliance and investigative perspective. Highlights from the podcast include: 1.    Murphy’s role at as VP of Products at Hanzo2.    Why did you write, The Shark in the Wave: Revealing the Lurking Danger of Slack Data?3.    A discussion of rise of Slack as a common business tool.4.    What are the dangers in using Slack from the compliance and investigative perspectives?5.    How can a company think though managing these risks? For additional reading, see Murphy’s article, The Shark in the Wave: Revealing the Lurking Danger of Slack Data, on Corporate Compliance Insights by clicking here.

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Array ( [id] => e2bb974e-cf5c-11e9-b857-373fc21cfab5 [createdAt] => 2019-09-04T14:42:25.925-07:00 [updatedAt] => 2019-09-04T14:42:42.962-07:00 [title] => James Koukios on the Morrison and Foerster Top 10 International Anti-Corruption Developments for April 2019 [pubdate] => 2019-09-08T21:00:00.000-07:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/e2bb974e-cf5c-11e9-b857-373fc21cfab5/image/uploads_2F1567633117451-5x5mae8ofjj-27b283b2a8655f238f79d443db360024_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 443 [subtitle] => In this episode I visit with podcast favorite Morrison and Foerster partner James Koukios on the firm’s Top 10 International Anti-Corruption Developments for April 2019. We look at some of the key international developments.   [summary] =>

In this episode I visit with podcast favorite Morrison and Foerster partner James Koukios on the firm’s Top 10 International Anti-Corruption Developments for April 2019. We look at some of the key international developments.  Highlights from the podcast include:The debate Over Meaning of “Agent” Under FCPA Intensifies Ahead of Hoskins Trial.Federal Court Finds FCPA Investigation Documents Protected by Attorney-Client Privilege.International Maritime Organization (IMO) Sets Anti-Corruption Agenda.We take a deep dive into the new Evaluation of Corporate Compliance Programs, 2019 Guidance. What is new (if anything)? How does this assist the corporate compliance professional? Should it be read in conjunction with the Benczkowski Memo?To see a copy of the Morrison and Foerster Top 10 International Anti-Corruption Developments for April 2019, click here.

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Array ( [id] => 50f9c0cc-c60d-11e9-b39b-afe64a9c35d2 [createdAt] => 2019-08-24T03:20:10.678+02:00 [updatedAt] => 2019-08-25T21:32:51.794+02:00 [title] => Episode 442-Serco Geografix DPA [pubdate] => 2019-08-26T06:02:00.000+02:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/50f9c0cc-c60d-11e9-b39b-afe64a9c35d2/image/uploads_2F1566601288057-20exr2aflpt-8decd45bb3fe434c4130345325e927b6_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 442 [subtitle] => n this episode I visit with Sacha Harber-Kelly, a partner at Gibson Dunn in the UK and Steve Melrose, a senior Associate at the firm on the Serco Geografix DPA. [summary] =>

In this episode I visit with Sacha Harber-Kelly, a partner at Gibson Dunn in the UK and Steve Melrose, a senior Associate at the firm. They authored what I think is one of the best summaries of the recent Serco Graphic Deferred Prosecution Agreement and they came on the podcast to flesh out some of their thoughts on the matter. Highlights from the podcast include:

1.     What is the significance of this Serco DPA?2.     What was the court’s analysis?3.     Why did the court deem the DPA in the interest of justice?4.     What did the court say about the seriousness of the conduct?5.     What was the company’s cooperation and how did that play into the court’s analysis?6.     What would have been the collateral consequences to the company had it been convicted at trial?7.     How did the court view the strength of the evidence brought forward by the SFO?8.     What was the court’s discussion around whether or not the terms of the DPA fair reasonable and proportionate?9.     What is the significance of postponement of the Statement of Facts?10.  Does the Serco Geografix DPA provide any additional guidance beyond prior DPAs issued in the UK?

For more information on Sacha Harber-Kelly, check out his LinkedIn profile here. For more information on Steve Melrose, check out his LinkedIn profile here. To read the full client alert, The SFO’s Fifth DPA – High Five or Down Low? Too Slow ! click here.

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Array ( [id] => daff07b8-c1b8-11e9-ab91-332ea49871cc [createdAt] => 2019-08-18T06:05:30.364-07:00 [updatedAt] => 2019-08-18T06:05:56.819-07:00 [title] => Episode 441- Compliance Training to Influence Behavior [pubdate] => 2019-08-18T21:00:00.000-07:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/daff07b8-c1b8-11e9-ab91-332ea49871cc/image/uploads_2F1566133358272-kjrmmqi1qho-9b06c2906662fe496c5c130893eacae1_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 441 [subtitle] => In this episode I visit with Matt Galvin, Vice President, Ethics & Compliance at Anheuser-Busch InBev and Peter Grossman, Co-Founder, Chief Strategist at Labyrinth Training about their work on compliance training to influence behavior at Ab-InBev [summary] =>

In this episode I visit with Matt Galvin, Vice President, Ethics & Compliance at Anheuser-Busch InBev and Peter Grossman, Co-Founder, Chief Strategist at Labyrinth Training about their work on compliance training to influence behavior at Ab-InBev.  Highlights from the podcast include: 1.      How did they create some of the most innovative compliance training?2.     How can innovative training be effective training?3.     How can compliance training influence behavior?4.     Why does Galvin (and Ab-InBev) emphasis compliance training so robustly?5.     How can non-traditional approaches to compliance training be effective?6.     Why compliance officers should always be curious?7.     How did Matt and Peter come together to create this innovative training regime?  For more information on Peter Grossman, check out his LinkedIn profile here. For more information on his company Labyrinth Training, click here. For more on Labyrinth’s work with Ab-InBev on training, click here.

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Array ( [id] => 538d8c22-b9ee-11e9-8679-8f91e17e0cf5 [createdAt] => 2019-08-08T17:08:06.640+02:00 [updatedAt] => 2019-08-09T16:41:13.796+02:00 [title] => Everything You Wanted to Know About Monitors But Were Afraid To Ask: Part V-Cost Issues When Hiring a Monitor [pubdate] => 2019-08-12T06:10:00.000+02:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/538d8c22-b9ee-11e9-8679-8f91e17e0cf5/image/uploads_2F1565361652548-wf55817f07e-800a8278d17ccfd559d256a09b94d374_2FFCPA_Podcast_08.2019.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => 5 [subtitle] => This week, over a five-part podcast series, Jay Rosen and myself have considered some of the basic questions around monitors and monitorships. Today, in our concluding Part 5, we look at cost issues when hiring a monitor and how a company can work to ameliorate them. [summary] =>

This week, over a five-part podcast series, we have considered some of the basic questions around monitors and monitorships. I have been joined in this exploration by Jay Rosen, the Vice President of Business Development and Monitoring Specialist at Affiliated Monitors, Inc. who is the sponsor of this podcast series. In this series we introduced the role of independent integrity monitors and corporate monitorships; discussed both pre-settlement and post-resolution monitorships and their different applications;  and listed out some of the considerations a company should take in hiring a monitor. Today, in our concluding Part 5, we look at cost issues when hiring a monitor and how a company can work to ameliorate them.

Some of the highlights from this podcast include:

What will be the overall scope of the monitorship?What will be the frequency of engagement by the monitor?What will be the duration of the monitorship?What is the experience of the monitor and how does that play into overall costs?How you can work through cost control issues by using a robust monitor’s Workplan?How selective sampling is a powerful tool and why it can be a cost-saving measure.For additional reading see Jay Rosen’s article How Much Will a Corporate Monitorship Cost? on Corporate Compliance Insights.

For more information on Affiliated Monitors, Inc. visit their website here.

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In this five-part podcast series, we consider some of the basic questions around monitors and monitorships. I am joined in this podcast series by Jay Rosen, the Vice President of Business Development and Monitoring Specialist at Affiliated Monitors, Inc. who is the sponsor of this podcast series. In this series we introduce the role of independent integrity monitors and corporate monitorships; discuss both pre-settlement and post-resolution monitorships and their different applications; considerations a company should take in hiring a monitor and cost reflections for monitorships. Today, in Part 4, we look at considerations when hiring a monitor.

Some of the highlights from this podcast include:Considering the type and style of the monitor in your selection process.What is the expertise of the monitor, not simply in the subject matter but concluding monitorships?Balancing the interests of the regulator, the company and other stakeholders.Making sure that the monitor is bringing value to the company.Why a Monitor must be independent and conflict-free.I hope you will join us tomorrow for Part 5, where we discuss the issue of costs when retaining a monitor.

For additional reading see Jay Rosen’s article What Issues Should a Company Consider When Hiring a Corporate Monitor? on Corporate Compliance Insights.

For more information on Affiliated Monitors, Inc. visit their website here.

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In this five-part podcast series, we consider some of the basic questions around monitors and monitorships. I am joined in this podcast series by Jay Rosen, the Vice President of Business Development and Monitoring Specialist at Affiliated Monitors, Inc. who is the sponsor of this podcast series. In this series we introduce the role of independent integrity monitors and corporate monitorships; discuss both pre-settlement and post-resolution monitorships and their different applications; considerations a company should take in hiring a monitor and cost reflections for monitorships. Today, in Part 3, we consider the power of a monitorship in the pre-settlement phase of any matter.

Some of the highlights from this podcast include:

1.    What is an Internal Cultural Assessment?2.    How can a pre-settlement monitorship be used as a (a) Pre-emptive Strike;  or (b) to prevent a suspension or debarment action?3.    What is the power of a pre-acquisition monitor in M&A Due Diligence?4.    How is an independent integrity monitor can be a powerful prescriptive tool?

I hope you will join us tomorrow for Part 4, where we discuss considerations when hiring a monitor.

For additional reading see Jay Rosen’s article What is the Power of a Pre-Settlement Monitorship?on Corporate Compliance Insights.

For more information on Affiliated Monitors, Inc. visit their website here. 

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In this five-part podcast series, we consider some of the basic questions around monitors and monitorships. I am joined in this podcast series by Jay Rosen, the Vice President of Business Development and Monitoring Specialist at Affiliated Monitors, Inc. who is the sponsor of this podcast series. In this series we introduce the role of independent integrity monitors and corporate monitorships; discuss both pre-settlement and post-resolution monitorships and their different applications; considerations a company should take in hiring a monitor and cost reflections for monitorships.  Today, in Part 2, we consider the use of monitors in the post-resolution phase.

Some of the highlights from this podcast include:

What is a monitorship in the FCPA Context?Complying with Consent DecreesWhen does post-resolution monitorship have the impact of a pre-settlement monitorship?There are myriad of other ways a post-resolution monitorship can help a company navigate post-resolution issues with regulators.I hope you will join us tomorrow for Part 3, where we discuss the power of a pre-settlement monitorship.

For additional reading see Jay Rosen’s article What is a Post-Resolution Monitorship? on Corporate Compliance Insights.

For more information on Affiliated Monitors, Inc. visit their website here.

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In this five-part podcast series, we consider some of the basic questions around monitors and monitorships. I am joined in this podcast series by Jay Rosen, the Vice President of Business Development and Monitoring Specialist at Affiliated Monitors, Inc. who is the sponsor of this podcast series. In this series we introduce the role of independent integrity monitors and corporate monitorships; discuss both pre-settlement and post- resolution monitorships and their different applications; considerations a company should take in hiring a monitor and cost reflections for monitorships. Today, in Part 1, introduce the role of independent integrity monitors and corporate monitorships.

Some of the highlights from this podcast include:

1.    What is a corporate monitor?2.    What agency has oversight?3.    Who foots the bill?4.    What about subject matter expertise?

I hope you will join us tomorrow for Part 2, where we discuss post-settlement monitorships.

For additional reading see Jay Rosen’s article Corporate Monitorship 101: Who Are They, and What Can You Expect? on Corporate Compliance Insights.

For more information on Affiliated Monitors, Inc. visit their website here. 

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In this episode I visit with Affiliated Monitor’s Managing Director Jesse Caplan on the recently released DOJ Evaluation of Corporate Compliance Programs in Criminal Antitrust Investigations.  Highlights from the podcast include:

How does this change the Antitrust Division Leniency Program?Does your compliance program have an antitrust focus?How should compliance professionals consider using this Evaluation?How does this Evaluation fit in with Evaluation of FCPA Compliance Programs?For a copy of the DOJ Evaluation of Corporate Compliance Programs in Criminal Antitrust Investigations, click here.

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Array ( [id] => eb11842e-b19f-11e9-87f4-973b0fb3be9c [createdAt] => 2019-07-28T18:26:41.303-07:00 [updatedAt] => 2019-07-28T18:27:02.354-07:00 [title] => FCPA Compliance Report-Episode 439, James Koukios on the Morrison and Foerster Top 10 International Anti-Corruption Developments for March 2019 [pubdate] => 2019-07-28T21:00:00.000-07:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/eb11842e-b19f-11e9-87f4-973b0fb3be9c/image/uploads_2F1564363391899-fkx5hnnkh2s-7c3614265dbd052445fa17014030efc5_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 439 [subtitle] => In this episode I visit with podcast favorite Morrison and Foerster partner James Koukios on the firm’s Top 10 International Anti-Corruption Developments for March 2019. [summary] =>

In this episode I visit with podcast favorite Morrison and Foerster partner James Koukios on the firm’s Top 10 International Anti-Corruption Developments for March 2019. We look at some of the key international developments.  Highlights from the podcast include:

The MTS FCPA Settlement.Changes in FCPA Corporate Enforcement Policy-what is ‘De-Confliction’ and ephemeral messaging.OECD Working Group on Bribery Reports on the UK’s Foreign Bribery Enforcement Record.CFTC announces entry into FCPA enforcement.India appoints first anticorruption ombudsman.To see a copy of the Morrison and Foerster Top 10 International Anti-Corruption Developments for March 2019, click here.

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Array ( [id] => 746ab85e-af9c-11e9-8c76-ab5af7dc5b0c [createdAt] => 2019-07-26T13:56:51.425+02:00 [updatedAt] => 2019-07-26T13:57:25.204+02:00 [title] => Bonus Episode-Mike Volkov's Interviews the Compliance Evangelist for 100th Episode of Corruption Crime and Compliance [pubdate] => 2019-07-27T06:00:00.000+02:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/746ab85e-af9c-11e9-8c76-ab5af7dc5b0c/image/uploads_2F1564140489017-p01rqeu3nj-307fbd08fd03074a927d63f892d54f59_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => [subtitle] => This special bonus episode is a cross-post of Mike Volkov's 100th episode podcast, where he interviewed me. It was a ton of fun and Mike was gracious enough to allow me to post on the FCPA Compliance Report. [summary] =>

This special bonus episode is a cross-post of Mike Volkov's 100th episode podcast, where he interviewed me. It was a ton of fun and Mike was gracious enough to allow me to post on the FCPA Compliance Report. Click here for the post on Corruption Crime and Compliance.

Some of the highlights include:

Where is the vast Compliance Podcast Network, and what is coming in the future?

The genesis of for Trekking through Compliance and how were you able to pull together and synthesize all of the Star Trek episodes?

My perspective on this recent DOJ and OFAC Guidance and how should compliance professionals use this guidance?

Given all of this recent government guidance, where does the FCPA Guidance from 2012 fit into the picture?  Does it still have value to the compliance professional?

What do you see, over the next five years, and how should compliance professionals prioritize compliance?

We always hear about automation, blockchain, artificial intelligence, data analytics and machine learning – how do we sift through these, find valuable compliance applications and then prioritize the use of these technologies?

When Trump first assumed the presidency there was concern about his commitment to FCPA enforcement.  What is my view of how this has turned out?

Where DOJ will be over the next few years on enforcement and compliance?

As compliance continues to evolve and increase its influence, where is the compliance profession growing?

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Array ( [id] => 8a8c0f92-af16-11e9-9d86-3fc8ade30154 [createdAt] => 2019-07-25T21:58:16.046+02:00 [updatedAt] => 2019-07-25T22:01:10.204+02:00 [title] => Bonus Episode-Sean Freidlin Interviews Elizabeth O'Keefe [pubdate] => 2019-07-26T06:00:00.000+02:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/8a8c0f92-af16-11e9-9d86-3fc8ade30154/image/uploads_2F1564084373209-1g15kjcywa4-e4556828670ee971e8338d30248c843e_2FHanzo-podcast-okeefe-1500.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => [subtitle] => In this special bonus episode, Sean Freidlin interviews Elizabeth O'Keefe Compliance Manager at KAYAK and Open Table. [summary] =>

In this special bonus episode, In the newest episode of Hanzo's Profiles in Excellence series, Sean Freidlin interviews Elizabeth O'Keefe, Compliance Manager at KAYAK and OpenTable. Their conversation includes Elizabeth's career path from over a decade in the compliance space, what an average day as a compliance manager looks like, building a culture where compliance is seen as a collaborator within the organization, major trends impacting the compliance profession, and more. Tune in to listen to the full conversation, or head over to https://corporatecomplianceinsights.com to read the transcribed, edited version. 

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In this five-part podcast series, I consider the use of monitors by state Attorneys General. I am joined in this podcast series by Jerry Coyne, the Managing Director of State Monitoring Services at Affiliated Monitors, Inc. who is the sponsor of this podcast series. In this series we introduce the role of state Attorneys Generals as enforcers of state law and bringers of civil litigation; the reaction to the big-tobacco settlement and the criticism of state Attorney Generals over that process; multi-state settlements in the post-tobacco era; challenges in multi-state litigation and the road ahead. Today, in this concluding Part 5, we consider the road ahead and the use of monitors by state Attorney Generals. For more information on Affiliated Monitors, Inc. visit their website here.

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In this five-part podcast series, I consider the use of monitors by state Attorneys General. I am joined in this podcast series by Jerry Coyne, the Managing Director of State Monitoring Services at Affiliated Monitors, Inc. who is the sponsor of this podcast series. In this series we introduce the role of state Attorneys Generals as enforcers of state law and bringers of civil litigation; the reaction to the big-tobacco settlement and the criticism of state Attorney Generals over that process; multi-state settlements in the post-tobacco era; challenges in multi-state litigation and the road ahead. Today, in Part 4, we consider the challenges for state Attorney Generals in today’s litigation environment. I hope you will join us tomorrow for our concluding Part 5, where consider the road ahead for state AGs. For more information on Affiliated Monitors, Inc. visit their website here.

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In this five-part podcast series, I consider the use of monitors by state Attorneys General. I am joined in this podcast series by Jerry Coyne, the Managing Director of State Monitoring Services at Affiliated Monitors, Inc. who is the sponsor of this podcast series. In this series we introduce the role of state Attorneys Generals as enforcers of state law and bringers of civil litigation; the reaction to the big-tobacco settlement and the criticism of state Attorney Generals over that process; multi-state settlements in the post-tobacco era; challenges in multi-state litigation and the road ahead. Today, in Part 3, we consider the role of state Attorney Generals in multistate litigation in the post-tobacco era.

I hope you will join us tomorrow for Part 4, where we discuss the challenges of multistate into today’s litigation environment. For more information on Affiliated Monitors, Inc. visit their website here.

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In this five-part podcast series, I consider the use of monitors by state Attorneys General. I am joined in this podcast series by Jerry Coyne, the Managing Director of State Monitoring Services at Affiliated Monitors, Inc. who is the sponsor of this podcast series. In this series we introduce the role of state Attorneys Generals as enforcers of state law and bringers of civil litigation; the reaction to the big-tobacco settlement and the criticism of state Attorney Generals over that process; multi-state settlements in the post-tobacco era; challenges in multi-state litigation and the road ahead. Today, in Part 2, we consider the reaction to the Big Tobacco settlement and criticisms directed at the state Attorney Generals. 

I hope you will join us tomorrow for Part 3, where we discuss multi-state litigation by state Attorney Generals in the post-tobacco era. For more information on Affiliated Monitors, Inc. visit their website here.

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In this five-part podcast series, I consider the use of monitors by state Attorneys General. I am joined in this podcast series by Jerry Coyne, the Managing Director of State Monitoring Services at Affiliated Monitors, Inc. who is the sponsor of this podcast series. In this series we introduce the role of state Attorneys Generals as enforcers of state law and bringers of civil litigation; the reaction to the big-tobacco settlement and the criticism of state Attorney Generals over that process; multistate settlements in the post-tobacco era; challenges in multistate litigation and the road ahead. Today, in Part 1, we consider the role of state AGs as enforcers of civil law and in bringing litigation to enforce consumer protect and related statutes.

I hope you will join us tomorrow for Part 2, where we discuss the reaction to the Big Tobacco settlement and the criticisms of state Attorney Generals for the process used. For more information on Affiliated Monitors, Inc. visit their website here.

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Array ( [id] => 4a4330e4-abc6-11e9-ae43-7bb317a52e8e [createdAt] => 2019-07-21T16:46:14.909+02:00 [updatedAt] => 2019-07-21T16:47:51.537+02:00 [title] => FCPA Compliance Report-Episode 438, Michael DeBernardis on The China Initiative and FCPA Enforcement [pubdate] => 2019-07-22T06:01:00.000+02:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/4a4330e4-abc6-11e9-ae43-7bb317a52e8e/image/uploads_2F1563720138955-qqiwmjdccc-da8b7789fb4d3890f444671a42fafd27_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 438 [subtitle] => In this episode of the FCPA Compliance Report, I visit Michael DeBernardis, Counsel at Hughes Hubbard about the Trump Administration’s China Initiative. [summary] =>

In this episode of the FCPA Compliance Report, I visit Michael DeBernardis, Counsel at Hughes Hubbard. We discuss the Trump Administration’s China Initiative and how it may impact FCPA enforcement efforts and spark a potential backlash against US companies. Some of the highlights include:

1.     What is the China Initiative?

2.     Why is it significant?

3.     What developments have you seen over the past 6 months since its announcement?

4.     Does the China Initiative tie into the effort for greater transparency of Chinese owned companies in America per the Senate bill on auditing?

5.     Does the China Initiative mean the FCPA is being weaponized? If so, what are the implications?

6.    What about China push back? FedEx or even GSK? You can find more information on see DeBernardis and Zygielbaum’s article  Revisiting the China Initiative: Will the Focus on FCPA Prosecutions of Chinese Companies Produce Results?

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Array ( [id] => b5f95ea4-a670-11e9-9366-830ec3daba14 [createdAt] => 2019-07-14T21:51:03.078+02:00 [updatedAt] => 2019-07-14T21:51:19.005+02:00 [title] => FCPA Compliance Report-Episode 437, Kelly Leonard on The Second City Works and Compliance [pubdate] => 2019-07-15T06:00:00.000+02:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/b5f95ea4-a670-11e9-9366-830ec3daba14/image/uploads_2F1563133800266-2pejsvppdcp-ccc1477ecf87a19cf5faea8026f39cdc_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 437 [subtitle] => In this episode of the FCPA Compliance Report, I visit with Kelly Leonard, from The Second City Works to discuss how they approach compliance training and communications. [summary] =>

In this episode of the FCPA Compliance Report, I visit Kelly Leonard, Executive Director, Insights and Applied Improvisation at The Second City Works. We discuss the compliance training which The Second City Works has developed and how they have incorporated storytelling into compliance training and communications.

Some of the highlights include:Most folks are familiar with Second City but what is Second City Works?What are the service offerings of Second City Works?What is the Second Science Project and how does it inform your service offerings?Why is storytelling so important in training and ongoing communications?The book “Yes, And: How Improvisation Reverses "No, But" Thinking and Improves Creativity and Collaboration--Lessons from The Second City”.How do you mentor Millennials but sidestep the drama?As a company scales up or grows how can it keep its lines of communications open?Where can listeners go for more information?You can find more information on The Second City Works by checking out their website, here.

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Array ( [id] => 4d71b2d6-a0b3-11e9-87ff-976b75b684f5 [createdAt] => 2019-07-07T14:32:37.024+02:00 [updatedAt] => 2019-07-09T12:50:38.996+02:00 [title] => FCPA Compliance Report-Episode 436, Justin Muscolino on Creating eLearning Training [pubdate] => 2019-07-08T06:00:00.000+02:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/4d71b2d6-a0b3-11e9-87ff-976b75b684f5/image/uploads_2F1562502466620-6hqea2flnv9-c84481777cdede0d02fb2445ebefb0a5_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 436 [subtitle] => In Episode 436 of the FCPA Compliance Report, GRC Solutions’ Justin Muscolin discusses some of the challenges to create targeted and effective eLearning training. [summary] =>

In this episode of the FCPA Compliance Report, I visit Justin Muscolino, Head of North American Compliance Training Operations for GRC Solution.

 

Some of the highlights include: 

Why do organizations struggle so much with culture and what impact can compliance training have to improve this?What do organizations often get wrong when it comes to training?What happens when organizations do not target their training?One of the issues that organizations face is measuring the effectiveness of their training benchmarking that their compliance is working. How can a compliance professional consider benchmarking?In a blog post on the GRC Solutions website you also look at the training compliance professionals to improve their culture?  How can you train compliance officers around this issue?Any advice for companies trying to get the right culture in their organizations?You can find more information on GRC Solutions by checking out their website, here.

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Array ( [id] => 1a22c116-9b42-11e9-984c-f7b33abba995 [createdAt] => 2019-06-30T10:19:42.002-04:00 [updatedAt] => 2019-06-30T10:19:56.684-04:00 [title] => FCPA Compliance Report-Episode 435, Dave Lefort on Compliance Week’s Re-platforming [pubdate] => 2019-07-02T00:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/1a22c116-9b42-11e9-984c-f7b33abba995/image/uploads_2F1561904275290-r6usakiiipb-d1725edbf0b938e2a8bfed0547778e61_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 435 [subtitle] => In this episode of the FCPA Compliance Report, I visit Dave Lefort, Editor of Compliance Week. We discuss the re-platforming of the Compliance Week website. [summary] =>

In this episode of the FCPA Compliance Report, I visit Dave Lefort, Editor of Compliance Week. We discuss the re-platforming of the Compliance Week website. Some of the highlights include: 

The nearly one-year journey to the re-platformed Compliance Week siteWhat the user experience will be going forward.How did the re-platforming multiple the Compliance Week user experience?How and why podcasts and videos on the site will be more scannable and readable.What are the new tools available for the user on the Compliance Week site?Check out Compliance Week’s re-platformed website by clicking here.

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Array ( [id] => ed63fbc8-9b36-11e9-9736-032995542986 [createdAt] => 2019-06-30T14:59:42.466+02:00 [updatedAt] => 2019-06-30T15:00:02.311+02:00 [title] => FCPA Compliance Report-Episode 434, Brandon Daniels on Using Investigations to Drive Continuous Improvement [pubdate] => 2019-07-01T06:00:00.000+02:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/ed63fbc8-9b36-11e9-9736-032995542986/image/uploads_2F1561899518322-mnopbl5jrh-d1abbbb64027f507838c461747ca6d98_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 434 [subtitle] => In this episode, I visit with Brandon Daniels from Exiger. We have a wide ranging discussion on using investigations to drive continuous improvement. [summary] =>

In this episode of the FCPA Compliance Report, I visit with Brandon Daniels, who is the President of Global Technology Markets for Exiger. Daniels is regulatory expert and technology practitioner, bringing more than 15 years in senior management across the financial services, life sciences and energy sectors. He has a reputation for technological innovation in regulatory investigations and compliance management. Some of the highlights include:

Daniels’ professional background, how he got to Exiger and his current role at the company.Some of the key technological innovations Daniels has recently seen in the way in which investigations are being handled?We discuss how can Exiger’s technological solutions help a CCO get their arms around the unstructured data which is available to them inside their organization?How can technology be used to create predictive models to rank offshore companies for potential tax and corruption risk?How can a technological solution can be used to help perform a compliance risk assessment?How do Exiger technological solutions assist compliance professionals to improve their corporate culture? For more information on Exiger, check out the firm’s website here. For more information on Brandon Daniels, check out his firm profile here.

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Array ( [id] => d59243ea-986d-11e9-bd99-2f2adc5fb2c0 [createdAt] => 2019-06-27T01:55:11.329+02:00 [updatedAt] => 2019-06-27T01:55:27.286+02:00 [title] => FCPA Compliance Report-Episode 433, Sean Freidlin on the Current State of Internal Investigations [pubdate] => 2019-06-27T06:04:00.000+02:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/d59243ea-986d-11e9-bd99-2f2adc5fb2c0/image/uploads_2F1561593255869-e5r2n1ktctj-7743c6275219fc7d013b3ef29ede676c_2FFox%2BPodcasting.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => In tis episode Sean Freidlin and I discuss the current state of best practices for internal investigations. [summary] =>

In this episode I visit with Sean Freidlin, the Senior Product Marketing Manager, Compliance at Hanzo. We take a deep dive into the state of compliance investigation in 2019, focusing on the impact of the Evaluation of Corporate Compliance Programs on investigations. For more information, Hanzo has published the following work, “THE 2019 GUIDE TO INTERNAL INVESTIGATIONS FOR COMPLIANCE-An eBook on Planning, Protocols, Data Collection, Triage, and Remediation” on which I collaborated. (The eBook was sponsored by Hanzo.) The eBook provides the compliance professional with multiple tools, strategies and tactics for the entire lifecycle of investigations; from initial intake through remediation. I know that you will find it incredibly useful. You can download it here.

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Array ( [id] => 8b692274-951c-11e9-95a3-ab44494c87af [createdAt] => 2019-06-22T20:35:44.190+02:00 [updatedAt] => 2019-06-22T20:35:58.221+02:00 [title] => The Current State of Compliance - Issues and Challenges: Part 5 - New Compliance Concerns in Healthcare [pubdate] => 2019-06-24T06:10:00.000+02:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/8b692274-951c-11e9-95a3-ab44494c87af/image/uploads_2F1561228475155-8i7g6zmg3zp-fc974329dcb7db35be2136e75a6359d0_2FKrollLogo-Series%2B1.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => 5 [subtitle] => In the concluding episode, Part V, we consider some of the latest challenges for healthcare compliance, including legislative changes and a recent corruption trial which Orr believes will be seen as a landmark event. [summary] =>

Over this five-part podcast series, I have visited with Terry L Orr, a Managing Director at Kroll, a division of Duff & Phelps, and the sponsor of this podcast series. We have taken a comprehensive look at state of compliance at the half-year mark of 2019. In the concluding episode, Part V, we consider some of the latest challenges for healthcare compliance, including legislative changes and a recent corruption trial which Orr believes will be seen as a landmark event. There are some safe harbor exceptions but outside of those exceptions a broad interpretation of value is used. For more information on Kroll, a division of Duff & Phelps, click here. For more information on Terry Orr, click here.

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Array ( [id] => e4438968-94ed-11e9-bcdb-bb6dbb2124ea [createdAt] => 2019-06-22T06:01:46.913-07:00 [updatedAt] => 2019-06-22T10:45:15.821-07:00 [title] => The Current State of Compliance - Issues and Challenges: Part 4 - Private Equity and Compliance [pubdate] => 2019-06-23T21:08:00.000-07:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/e4438968-94ed-11e9-bcdb-bb6dbb2124ea/image/uploads_2F1561225511686-7x3xydrscdx-16c4a5b92256937d92e3d71075e14217_2FKrollLogo-Series%2B1.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => 4 [subtitle] => In Part IV of this five-part podcast series with Terry Orr of Kroll, we consider unique challenges for private equity companies in compliance; both in their organizations and for their portfolio companies. [summary] =>

In this five-part podcast series, I visit with Terry L Orr, a Managing Director at Kroll, a division of Duff & Phelps, the sponsor of this podcast series. We visit on the current state of compliance through the lens of recent Foreign Corrupt Practices Act (FCPA) enforcement actions and the Evaluation of Corporate Compliance Programs, 2019 Guidance, consider some of the specific issues in compliance for private equity and the increased importance of compliance in the healthcare industry. It is a comprehensive look at state of compliance at the half-year mark of 2019. We have previously considered how compliance programs might be updated based upon lessons learned in recent FCPA enforcement actions, then we considered the Department of Justice’s (DOJ’s) recent guidance on corporate compliance. In Part IV, we consider unique challenges for private equity companies in compliance; both in their organizations and for their portfolio companies.

For more information on Kroll, a division of Duff & Phelps, click here. For more information on Terry Orr, click here. Join us for our final episode where take a deep dive into the burgeoning issues of healthcare and compliance.

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Array ( [id] => 07a893f4-94ed-11e9-b1b3-4329918cbee7 [createdAt] => 2019-06-22T08:55:36.797-04:00 [updatedAt] => 2019-06-22T13:44:53.002-04:00 [title] => The Current State of Compliance - Issues and Challenges: Part 3 - Evaluation of Corporate Compliance Programs [pubdate] => 2019-06-24T00:06:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/07a893f4-94ed-11e9-b1b3-4329918cbee7/image/uploads_2F1561225487447-j7yokhjg3zr-ed6a82955e1cc96ebe749692b59e6e94_2FKrollLogo-Series%2B1.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => 3 [subtitle] => In this In Part III of this five-part podcast, I continue my visit with Terry Orr. We consider the recently released DOJ 2019 Guidance and what it means for compliance professionals. [summary] =>

During this five-part podcast series, I visit with Terry L Orr, a Managing Director at Kroll, a division of Duff & Phelps, the sponsor of this podcast series. We visit on the current state of compliance through the lens of recent Foreign Corrupt Practices Act (FCPA) enforcement actions and the Evaluation of Corporate Compliance Programs, 2019 Guidance, consider some of the specific issues in compliance for private equity and the increased importance of compliance in the healthcare industry. It is a comprehensive look at state of compliance at the half-year mark of 2019. In Part III, we consider the recently released Department of Justice (DOJ) 2019 Guidance and what it means for compliance professionals.

Which will be the topic of our next Podcast. For more information on Kroll, a division of Duff & Phelps, click here. For more information on Terry Orr, click here. Join us for our next episode where take a deep dive into the unique issues of Private Equity and compliance.

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Array ( [id] => 37114744-95d3-11e9-b76f-7f7b3f4bfe06 [createdAt] => 2019-06-23T18:23:20.588+02:00 [updatedAt] => 2019-06-23T18:25:21.896+02:00 [title] => Walmart FCPA Settlement [pubdate] => 2019-06-24T06:05:00.000+02:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/37114744-95d3-11e9-b76f-7f7b3f4bfe06/image/uploads_2F1561306765367-7g4bykm6dcj-fc50fc38b0ad1a802a55b97a344531b9_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => [subtitle] => In this special bonus podcast, I am joined by Jay Rosen to discuss the FCPA enforcement action involving the world’s largest retailer--Walmart. [summary] =>

In this special bonus podcast, I am joined by Jay Rosen to discuss the stunning resolution to one of the longest running bribery, corruption and money-laundering sagas on the international stage, the FCPA enforcement action against the world’s largest retailer--Walmart. Some of the highlights include: ·     The background facts;·     How significant is the case;·     Is the penalty too low (or too high)?·     Response of Walmart;·     Lessons learned for the compliance professional;·     Was there self-disclosure and full cooperation?·     How should we analyze the monitor requirement under the Benczkowski Memo?  Resources: The documents for this matter include:From the Department Of Justice1.     Criminal Information2.     Non-Prosecution Agreement3.     Plea Agreement and Statement of Facts4.     Press Release From the SEC, Cease and Desist Order and Press Release. See also Tom’s Blog Post Walmart Enforcement Action-Part 1: Introduction. Tom will have multiple blog posts on the Walmart enforcement action so keep abreast on the FCPA Compliance Report. 

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In this five-part podcast series, I visit with Terry L Orr, a Managing Director at Kroll, a division of Duff & Phelps, the sponsor of this podcast series. We visit on the current state of compliance through the lens of recent Foreign Corrupt Practices Act (FCPA) enforcement actions and the Evaluation of Corporate Compliance Programs, 2019 Guidance, consider some of the specific issues in compliance for private equity and the increased importance of compliance in the healthcare industry. It is a comprehensive look at state of compliance at the half-year mark of 2019. In Part II, we consider what can be learned from recent FCPA investigations and settlements.

Which will be the topic of our next Podcast. For more information on Kroll, a division of Duff & Phelps, click here. For more information on Terry Orr, click here. Join us for our next episode where take a deep dive into DOJ’s recent Evaluation of Corporate Compliance Programs, 2019 Guidance.

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In this five-part podcast series, I visit with Terry L Orr, a Managing Director at Kroll, a division of Duff & Phelps, the sponsor of this series. We visit on the current state of compliance through the lens of recent Foreign Corrupt Practices Act (FCPA) enforcement actions and the Evaluation of Corporate Compliance Programs, 2019 Guidance, consider some of the specific issues in compliance for private equity and the increased importance of compliance in the healthcare industry. It is a comprehensive look at state of compliance at the half-year mark of 2019. We begin this series by introducing Orr, how he came into focus in the compliance space and where he sees compliance headed down the road.

For more information on Kroll, a division of Duff & Phelps, click here. For more information on Terry Orr, click here. Join us for our next episode where take a deep dive into lessons learned for the compliance practitioner from recent key FCPA enforcement actions.

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In this five-part podcast series, sponsored by Assent Compliance Inc. (Assent), I have explored the market impacts of emerging regulations on supply chain compliance and the supply chain professional. During the course of this series, I visit with several members of the Assent team to introduce the topic, look at Human Trafficking and Slavery (HTS), supply chain risk management programs, CSR value propositions, the current state of responsible mineral sourcing and where all of this is headed. In this fifth and concluding episode, I visit with Jonathan Hughes, Director, Strategic Relationships at Assent Compliance. We considered how the market impacts are driving the need for more technology-based solutions for supply chain management. You can check out more about Assent Compliance Inc. at their website, by clicking here.

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Array ( [id] => bf24a048-891e-11e9-81f6-f7ba8d96222a [createdAt] => 2019-06-07T08:21:16.025-04:00 [updatedAt] => 2019-06-07T12:05:30.707-04:00 [title] => Impacts of Emerging Regulations: Part 4- the Current State of Responsible Minerals [pubdate] => 2019-06-17T00:08:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/bf24a048-891e-11e9-81f6-f7ba8d96222a/image/uploads_2F1559909982626-0btcnc1whdno-2f03e5e95e70be2ecad4fc64cd533841_2FAssent3.1.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => In this fourth episode of a 5-part podcast series, I visit with Jared Connors, subject matter expert for Assent Compliance on Corporate Social Responsibility on the current state of conflict minerals/responsible minerals.  [summary] =>

In this five-part podcast series, sponsored by Assent Compliance Inc. (Assent), I explore market impacts of emerging regulations on supply chain compliance and the supply chain professional. During the course of this series, I visit with several members of the Assent team to introduce the topic, look at Human Trafficking and Slavery  supply chain risk management programs, Corporate Social Responsibility (CSR) value propositions, the current state of responsible mineral sourcing and where all of this is headed. In this fourth episode, I visit with Jared Connors, subject matter expert for Assent Compliance on CSR on the current state of conflict minerals/responsible minerals. Join us tomorrow where we wrap us this series on emerging regulatory areas in a conversation with Jonathan Hughes. You can check out more about Assent Compliance Inc. at their website, by clicking here. 

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In this five-part podcast series, sponsored by Assent Compliance Inc. (Assent), I explore market impacts of emerging regulations on supply chain compliance and the supply chain professional. During the course of this series, I visit with several members of the Assent team to introduce the topic, look at Human Trafficking and Slavery (HTS), supply chain risk management programs, Corporate Social Responsibility (CSR) value propositions, the current state of responsible mineral sourcing and where all of this is headed. In this second episode, I visit with Sarah Carpenter, Manager, Business and Human Rights for Assent Compliance on the value proposition of CSR for corporations. Join us tomorrow where we consider the current state of conflict minerals/responsible minerals with Jared Connors? You can check out more about Assent Compliance Inc. at their website, by clicking here. 

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Array ( [id] => b7058a8c-891c-11e9-bede-73abd84c2fe2 [createdAt] => 2019-06-07T08:06:43.403-04:00 [updatedAt] => 2019-06-07T12:03:44.311-04:00 [title] => Impacts of Emerging Regulations: Part 2- Instituting a Broader Risk Management Program [pubdate] => 2019-06-17T00:02:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/b7058a8c-891c-11e9-bede-73abd84c2fe2/image/uploads_2F1559909097564-9bffw1om2sm-82643c8a4cc20f802b5132fb36e10fc3_2FAssent3.1.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => 2 [subtitle] => In Part 2 of a 5-part podcast series, I visit with Jared Connors, subject matter expert for Assent Compliance on Corporate Social Responsibility (CSR) on how to institute a broader supply chain risk management program. [summary] =>

In this five-part podcast series, sponsored by Assent Compliance Inc. (Assent), I explore market impacts of emerging regulations on supply chain compliance and the supply chain professional. During the course of this series, I visit with several members of the Assent team to introduce the topic, look at Human Trafficking and Slavery (HTS), supply chain risk management programs, CSR value propositions, the current state of responsible mineral sourcing and where all of this is headed. In this second episode, I visit with Jared Connors, subject matter expert for Assent Compliance on Corporate Social Responsibility (CSR) on how to institute a broader supply chain risk management program. Join us tomorrow where we ask, ‘what’s your CSR value proposition’? You can check out more about Assent Compliance Inc. at their website, by clicking here. 

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Array ( [id] => 3ac7dee8-891c-11e9-8a3c-5b9fdd9ac473 [createdAt] => 2019-06-07T14:03:14.963+02:00 [updatedAt] => 2019-06-07T18:03:27.017+02:00 [title] => Impacts of Emerging Regulations: Part 1 – The HTS Landscape [pubdate] => 2019-06-17T06:00:00.000+02:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/3ac7dee8-891c-11e9-8a3c-5b9fdd9ac473/image/uploads_2F1559908940685-2dwf8p1dp3a-0a51cb0ccc71cb1bb105acb4bcd9f91b_2FAssent3.1.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => 1 [subtitle] => In this episode 1 of a 5-part podcast series on the impacts of emerging regulations on the supply chain, I visit with Kate Dunbar, subject matter expert for Assent Compliance in HTS on the current and evolving HTS landscape. [summary] =>

In this five-part podcast series, sponsored by Assent Compliance Inc. (Assent), I explore market impacts of emerging regulations on supply chain compliance and the supply chain professional. During the course of this series, I visit with several members of the Assent team to introduce the topic, look at Human Trafficking and Slavery (HTS), supply chain risk management programs, CSR value propositions, the current state of responsible mineral sourcing and scaling up to meet future challenges. In episode one, I visit with Kate Dunbar, subject matter expert for Assent Compliance in HTS on the current and evolving HTS landscape. Join us tomorrow where provide an overview of instituting a broader supplier risk management program. You can check out more about Assent Compliance Inc. at their website, by clicking here. 

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Array ( [id] => 0b3ba424-83dc-11e9-b881-3b6d2544aa97 [createdAt] => 2019-05-31T15:41:11.586-04:00 [updatedAt] => 2019-05-31T15:41:46.223-04:00 [title] => FCPA Compliance Report-Episode 432, Mark Lanpher on DOJ Change in M&A Enforcement under the FCPA [pubdate] => 2019-06-10T00:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/0b3ba424-83dc-11e9-b881-3b6d2544aa97/image/uploads_2F1559331098652-w0kf37rc8ah-f0b20b7d8be018c758591d5ab1bad9ec_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 432 [subtitle] => In this episode I visit with Mark Lanpher, a partner at Shearman & Sterling LLP, practicing in the firm’s White Collar and Regulatory Enforcement group. Lanpher is a former Assistant Chief Litigation Counsel at the SEC. We take a deep dive into the July 2018 change in FCPA Enforcement Policy. [summary] =>

In this episode I visit with Mark Lanpher, a partner at Shearman & Sterling LLP, practicing in the firm’s White Collar and Regulatory Enforcement group. Lanpher is a former Assistant Chief Litigation Counsel at the SEC. We take a deep dive into the July 2018 change in FCPA Enforcement Policy, announced by the Justice Department creating a safe harbor in mergers and acquisition enforcement actions brought under the FCPA. Some of the highlights from the podcast include:  1.    How did Matthew Miner’s announcement impact the FCPA Corporate Enforcement Policy re: M&A?2.    What were the policy reasons behind the announcement? 3.    Was Miner’s announcement a codification of DOJ/SEC safe harbor policy first articulated in the 2012 FCPA Guidance?4.    How did (or not) Miner’s announcement bring certainty to this area?5.    What does it mean going forward?

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Array ( [id] => d9bc1748-83f5-11e9-8e55-575601796f98 [createdAt] => 2019-05-31T15:32:15.885-07:00 [updatedAt] => 2019-05-31T15:45:56.226-07:00 [title] => Life With GDPR: Episode 29- GDPR Year 1 Review-Part II, the Issues [pubdate] => 2019-06-05T21:03:00.000-07:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 29 [subtitle] => [summary] =>

In this podcast, data privacy/data security expert Jonathan Armstrong and Compliance Evangelist Tom Fox use the framework of GDPR to discuss a wide range of issues relating to these topics. They consider what the US compliance and InfoSec security expert needs to know about what is happening in the UK, Europe and beyond. This episode is the first of a two-part series where  Jonathan Armstrong and myself consider some of the highlights from the first year of GDPR implementation and enforcement. In this Part I we considered some of the enforcement numbers. In this Part II, we discuss some of the substantive issues. Some of the highlights in this episode include: Security issues-multiple regulators for large breaches and questions of whether TOMs are adequate. 6 Principles of GDPR-highest is around transparency.Data Subject Rights are seen as the biggest corporate pain points.DPIAs have been embraced by many companies and are seen by regulators as the backbone of a corporate compliance program around data security/data privacy. Industry sweeps are beginning to occur. Mixed quality of legal advice is hurting many companies in their compliance efforts. Some significant cases are headed to trial and then appeal. GDPR is here to stay. For more information on Cordery Compliance, go their website here.For additional reading see the Cordery Compliance article, “GDPR One Year On”.Also check out the GDPR Navigator, one of the top resources for GDPR Compliance by clicking here.

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Array ( [id] => 61fc5d34-85f4-11e9-836c-278ae410c0f0 [createdAt] => 2019-06-03T13:38:09.366+02:00 [updatedAt] => 2019-06-03T13:40:28.016+02:00 [title] => Daily Compliance News: June 4, 2019, the leadership edition [pubdate] => 2019-06-04T06:00:00.000+02:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => I take things in a different direction on this episode of the Daily Compliance News. I focus on 4 articles on leadership which caught my eye. [summary] =>

In today’s edition of Daily Compliance News:Why are bashful bosses better leaders? (FT)Leaders must know their weaknesses better than their strengths? (FT)A key leadership problem-setting boundaries. (Washington Post)A younger generation of leadership for Glencore is coming. (Bloomberg)

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Array ( [id] => 3697f826-83d1-11e9-8707-9b8676b873d0 [createdAt] => 2019-05-31T11:23:39.865-07:00 [updatedAt] => 2019-05-31T11:24:33.821-07:00 [title] => FCPA Compliance Report-Episode 431, Pat Harned On ECI's Impact 2019 Wrap Up [pubdate] => 2019-06-02T21:11:00.000-07:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/3697f826-83d1-11e9-8707-9b8676b873d0/image/uploads_2F1559326835329-zl9247epczl-523d6e1237d735bf7256c366db0776b8_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => In this episode I visit with Pat Harned, CEO at the Ethics and Compliance Initiative. We discuss the ECI’s recently concluded annual conference, Impact 2019 and some of the highlights for both Pat and myself. [summary] =>

In this episode I visit with Pat Harned, CEO at the Ethics and Compliance Initiative. We discuss the ECI’s recently concluded annual conference, Impact and some of the highlights for both Pat and myself. The theme of the event was ECI’s High Quality Program (HQP) Framework Assessment. Some of the highlights from the podcast include: 1.    The key theme was the HQP Framework Assessment tool. How did the genius bar facilitate discussions around the tool?2.    How the physical layout of the event facilitated the thorough discussions at Impact 2019.3.    How ECI will use the momentum from this event going forward. 4.    Some of the working groups which have come out of this event and will working to enhance the HQP.5.    What is next for the High-Quality Program and Framework Assessment?6.    A preview of some of the upcoming ECI events people can look forward to in the summer and fall, 2019. ResourcesFor more information on ECI, click here. For information on the High-Quality Program, click here. For information on the HQP Framework Assessment, click here.

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Over the course of this podcast series, sponsored by Affiliated Monitors, Inc. (AMI), I have visited with Eric Feldman, Senior Vice President of AMI. We have considered the Department of Justice (DOJ) Evaluation of Corporate Compliance Programs, (the “2019 Guidance”), which was released in April 2019. We are exploring what the 2019 Guidance changes are from the Evaluation of Corporate Compliance Program (2017 Guidance), released in February 2017, the structure and emphasis of the 2019 Guidance and what it means for the compliance practitioner going forward. In this concluding Episode, we bring together our final thoughts through a consider of the question “What does it all mean for your compliance practice?” For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor at www.affiliatedmonitors.com. 

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Over the course of this podcast series, sponsored by Affiliated Monitors, Inc. (AMI), I am visiting with Eric Feldman, Senior Vice President of AMI. We look at the Department of Justice (DOJ) Evaluation of Corporate Compliance Programs, (the “2019 Guidance”), which was released in April 2019. We are exploring what the 2019 Guidance changes are from the Evaluation of Corporate Compliance Program (2017 Guidance), released in February 2017, the structure and emphasis of the 2019 Guidance and what it means for the compliance practitioner going forward. In Episode 4, we consider the question “Does your compliance program work in practice?” Join us tomorrow when we conclude our deep dive into the 2019 Guidance by putting it all together with final thoughts and observations.  For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor at www.affiliatedmonitors.com.

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This week, in a podcast series sponsored by Affiliated Monitors, Inc. (AMI), I am visiting with Eric Feldman, Senior Vice President of AMI. We look at the Department of Justice (DOJ) Evaluation of Corporate Compliance Programs, (the “2019 Guidance”), which was released in April 2019. Over this series we are exploring the 2019 Guidance changes from the Evaluation of Corporate Compliance Program (2017 Guidance), released in February 2017, the structure and emphasis of the 2019 Guidance and what it means for the compliance practitioner going forward. In Episode 3, we consider the question “Is it being effectively implemented?” Join us tomorrow when begin a deep dive into the 2019 Guidance in considering the third question, “Does your compliance program work in practice?” For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor at www.affiliatedmonitors.com.

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Array ( [id] => 87e16a80-82ed-11e9-a7b3-9b71baf68766 [createdAt] => 2019-05-30T17:13:50.993+02:00 [updatedAt] => 2019-05-30T17:32:22.451+02:00 [title] => DOJ 2019 Guidance: Part II – Is Your Program Well Designed? [pubdate] => 2019-06-03T06:02:00.000+02:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/87e16a80-82ed-11e9-a7b3-9b71baf68766/image/uploads_2F1559230325058-1ez2xox53p5-b5aad221816c0c55643cfb6c7fa4289f_2FAMi-2019%2BGuidance.2.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => 2 [subtitle] => This week, in a podcast series sponsored by Affiliated Monitors, I am visiting with Eric Feldman, SVP of AMI. We look at the DOJ Evaluation of Corporate Compliance Programs. In Episode 2, we consider the question “Is your program well designed?” [summary] =>

This week, in a podcast series sponsored by Affiliated Monitors, Inc. (AMI), I am visiting with Eric Feldman, Senior Vice President of AMI. We look at the Department of Justice (DOJ) Evaluation of Corporate Compliance Programs, (the “2019 Guidance”), which was released in April 2019. Over the next five podcasts we will explore what the 2019 Guidance changes are from the Evaluation of Corporate Compliance Program (2017 Guidance), released in February 2017, the structure and emphasis of the 2019 Guidance and what it means for the compliance practitioner going forward. In Episode 2, we consider the question “Is your program well designed?” Join us tomorrow when begin a deep dive into the 2019 Guidance in considering the second question, “Is your program being implemented effectively?” For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor at www.affiliatedmonitors.com.

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Array ( [id] => b12df370-8579-11e9-b2db-ab67a9aeb7db [createdAt] => 2019-06-02T17:00:35.881-04:00 [updatedAt] => 2019-06-02T18:36:14.155-04:00 [title] => Daily Compliance News: June 3, 2019, the more lessons from Boeing edition [pubdate] => 2019-06-03T00:01:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => What are some of the top compliance and corruption stories for June 3, 2019? Check in with Tom Fox on the Daily Compliance News to find out. [summary] =>

In today’s edition of Daily Compliance News:Lengthy detail of Boeing miss-steps in 737 Max software issue. (NYT)What price did a whistleblower pay in tennis for reporting match fixing? (NYT)UK freezes home ownership for 3 homes purchased with unexplained wealth. (BBC)Jamie Diamond criticizes Wells Fargo for having no CEO succession plan. (FT)

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Array ( [id] => 9497a6c0-82ea-11e9-991f-4fe62e81f80d [createdAt] => 2019-05-30T16:52:43.829+02:00 [updatedAt] => 2019-05-30T17:30:53.307+02:00 [title] => DOJ 2019 Guidance: Part I - Introduction [pubdate] => 2019-06-03T06:00:00.000+02:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/9497a6c0-82ea-11e9-991f-4fe62e81f80d/image/uploads_2F1559230236722-thtpq80dtyk-42e82291ae9a2b51d7df40bf353c3a0e_2FAMi-2019%2BGuidance.2.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => 1 [subtitle] => This week, in a podcast series sponsored by AMI, I visit with Eric Feldman. We look at the DOJ Evaluation of Corporate Compliance Programs. In Episode 1, we begin with some of Feldman’s observations on the 2019 Guidance. [summary] =>

This week, in a podcast series sponsored by Affiliated Monitors, Inc. (AMI), I visit with Eric Feldman, Senior Vice President of AMI. We look at the Department of Justice (DOJ) Evaluation of Corporate Compliance Programs, (the “2019 Guidance”), which was released in April 2019. Over the next five podcasts we will explore what the 2019 Guidance changes are from the Evaluation of Corporate Compliance Program (2017 Guidance), released in February 2017, the structure and emphasis of the 2019 Guidance and what it means for the compliance practitioner going forward. In Episode 1, we begin with some of Feldman’s observations on the 2019 Guidance. Join us tomorrow when begin a deep dive into the 2019 Guidance in considering the first question, “Is the program well designed?” For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor at www.affiliatedmonitors.com.

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Array ( [id] => b0c817ce-83b9-11e9-b643-17756fcaeef2 [createdAt] => 2019-05-31T17:30:00.266+02:00 [updatedAt] => 2019-05-31T17:35:17.126+02:00 [title] => Daily Compliance News: June 1, 2019-the Management Incentives edition [pubdate] => 2019-06-01T06:00:00.000+02:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => What are some of the top compliance and corruption stories for June 1, 2019? Check in on the Daily Compliance News with Tom Fox. [summary] =>

In today’s edition of Daily Compliance News:What are management incentives?(Huffington Post)Vale employees warned of dam collapse and were ignored. (WSJ)Think meetings are bad? Just wait until you can’t have any.(FT)Claus von Bülow dies. (NYT)

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Array ( [id] => ad4a553c-83b2-11e9-9041-63b82c32052a [createdAt] => 2019-05-30T16:56:17.609-04:00 [updatedAt] => 2019-05-31T10:45:05.273-04:00 [title] => Daily Compliance News: May 31, 2019-the May is done edition [pubdate] => 2019-05-31T00:04:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => What are some of the top compliance and corruption stories for May 31, 2019? Check in on the Daily Compliance News with Tom Fox. [summary] =>

In today’s edition of Daily Compliance News:CITGO now part of PdVSA/Venezuelan corruption scandal. (Houston Chronicle)Who else did Chuck Blazer bribe? (NYT)Who is in your supply chain? (FT)Former head of Pemex charged with bribery and tax fraud? (NYT)

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Array ( [id] => 88ace648-8152-11e9-8e94-d77e77a45c46 [createdAt] => 2019-05-28T16:07:19.953+02:00 [updatedAt] => 2019-05-28T16:11:58.134+02:00 [title] => Life With GDPR: Episode 28- GDPR Year 1 Review-Part I, the Numbers [pubdate] => 2019-05-30T06:10:00.000+02:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 28 [subtitle] => In this episode Jonathan Armstrong and myself begin a two-part podcast series where we review the first year of GDPR. In this episode we consider the numbers from Year 1. [summary] =>

In this podcast, data privacy/data security expert Jonathan Armstrong and Compliance Evangelist Tom Fox use the framework of GDPR to discuss a wide range of issues relating to these topics. They consider what the US compliance and InfoSec security expert needs to know about what is happening in the UK, Europe and beyond. This episode is the first of a two-part series where  Jonathan Armstrong and myself consider some of the highlights from the first year of GDPR implementation and enforcement. In this Part I of this two-part series we consider some of the enforcement numbers. In Part II, we will consider some of the substantive issues. Some of the highlights in this episode include: EDPB says just over 150,000 complaints files EU under GDPR. Robust enforcement by both regulators and private bodies/citizens.UK leads with the largest number of complaints filed, followed by Germany then France.Around 950 complaints have reach courts. Italy is the country which has seen the largest number of court cases. Several countries are increasing inspections which could lead to enforcement actions.  For more information on Cordery Compliance, go their website here. Also check out the GDPR Navigator, one of the top resources for GDPR Compliance by clicking here.

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Array ( [id] => e82a1572-8252-11e9-a7db-7bd8cd95a90c [createdAt] => 2019-05-29T13:45:50.280-07:00 [updatedAt] => 2019-05-29T13:47:01.156-07:00 [title] => Daily Compliance News: May 30, 2019-is a spanking is coming edition [pubdate] => 2019-05-29T21:05:00.000-07:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => What are some of the top compliance and corruption stories for May 30, 2019? Check in on the Daily Compliance News with Tom Fox. [summary] =>

In today’s edition of Daily Compliance News:

Is the SEC useless? Mark Cuban thinks so. (Yahoo Finance)Monitor orderd for Wynn Casinos in Massachusettes. (WSJ)Frederick Pierucci continues his crusade against the DOJ and FCPA enforcement.(Shine)What will happen to Carnival Cruise Lines? (Miami Herald)

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Array ( [id] => 8459e82e-7fd2-11e9-a012-bbdbe1f1d34f [createdAt] => 2019-05-26T18:19:50.661+02:00 [updatedAt] => 2019-05-26T18:22:55.459+02:00 [title] => Everything Compliance-Episode 47, the Potpourri edition [pubdate] => 2019-05-30T06:00:00.000+02:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 47 [subtitle] => In this episode, the Everything Compliance gang presents a potpourri of topics and resources for your consideration. [summary] =>

Welcome to the only roundtable podcast in compliance. Today, we have the full quintet of Mike Volkov, Jay Rosen, Matt Kelly, Jonathan Armstrong and our newest colleague, Sarah Hadden. In this episode, we present a potpourri of topics.    

Sarah Hadden considers the behavioral side of ethics and how this needs to be incorporated more fully into a compliance regime. Sarah shouts out to the University of Texas, McCombs School of Business (Hook ‘Em) and its online video series entitled Ethics Unwrapped.Matt Kelly considers the current state of whistleblower programs. He asks if corporate legal departments will support the fix to Dodd- Frank after the Digital Realty Trust ruling? Matt shouts out to smaller law firms and companies having more focused compliance events.Jay Rosen tells you everything you wanted to know about monitors but were afraid to ask. Jay shouts out to House Speaker Nancy Pelosi for her slap down of AG William Barr.Mike Volkov discusses the new OFAC compliance program and the current state of OFAC sanctions. Mike shouts to the recently concluded ECI national conference Impact 2019.The members of the Everything Compliance are:Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.comMike Volkov– One of the top FCPA commentators and practitioners around and the Chief Executive Officer of The Volkov Law Group, LLC. Volkov can be reached at mvolkov@volkovlawgroup.com.Matt Kelly– Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.comJonathan Armstrong–is our UK colleague, who is an experienced lawyer with Cordery in London. Armstrong can be reached at armstrong@corderycompliance.comSarah Hadden–Publisher at Corporate Compliance Insights. Hadden can be reached at Sarah@corporatecomplianceinsights.comThe host and producer (and sometime panelist) of Everything Compliance is Tom Fox the Compliance Evangelist. Everything Compliance is a part of the Compliance Podcast Network.

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Array ( [id] => 2602b2e0-7fca-11e9-97b8-43b40178a420 [createdAt] => 2019-05-26T17:23:00.916+02:00 [updatedAt] => 2019-05-26T17:23:32.467+02:00 [title] => Bonus Episode-Compliance Week 2019 Wrap Up [pubdate] => 2019-05-29T12:00:00.000+02:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/2602b2e0-7fca-11e9-97b8-43b40178a420/image/uploads_2F1558884049510-c3jytuwskyp-1dac33cb87c165fd6993339f193d6d57_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => [subtitle] => In this episode I am joined by Mary Shirley, Lisa Fine and Amii Bernard-Bahn to provide our reflections of Compliance Week 2019. [summary] =>

In this special bonus podcast, I am joined by the co-hosts of Great Women in Compliance, Lisa Fine and Mary Shirley as well as Amii Bernard-Bahn. We all participated in the recently concluded Compliance Week 2019 and we sat down to provide some of our reflections on the conference. This podcast cross-posts on Great Women in Compliance. The episode is sponsored by Corporate Compliance Insights.  Some of the highlights include: Lisa Fine- the Key Note Presentation by Preet Bharara. Some of the highlights for Lisa were:·     Doing the right thing can often be the most expedient thing as well.·     The problems when you go right up to the ethical line.·     His career advice regarding learning the business side of things.  Mary Shirley- the presentation by Lisa Beth Lentini, Subhashis Nath and Robert Appleton on the behavioral science behind corporate compliance. Some of the highlights for Mary were: ·      The benefits of metrics in a best practices compliance program.·      Her surprise when the audience was polled that fewer than one-half in attendance are currently using data analytics in their corporate compliance programs.·      Data science will be a key component of compliance officers in a very short time.  Amii Bernard-Bahn-the reaction to and participation of the audience in two sessions Amii led on careers in corporate compliance. Some of the highlights for Amii included: ·     Compliance professionals are now thinking of their careers 3-5 years down the road. ·     CCOs are actively considering Board roles as a part of their compliance careers. ·     What are some of the business leadership skills a compliance professional needs to move to non-compliance roles in the C-Suite. Tom Fox-the Key Note address by Hui Chen on where compliance has been, where it is now and where it is going in the 2020’s and beyond. Some of the highlights for myself were: ·     A review of the five decades of compliance.·     The current challenges for the compliance professional.·     Where is compliance and ethics headed into next decade.   For additional reading on Compliance Week 2019 see the following blog posts:On the Importance of Compliance ProgramsThree Compliance Lessons from Preet BhararaLooking Forward in Compliance With Hui Chen  Subscribe to the Great Women in Compliance podcast, co-hosted by Mary Shirley and Lisa Fine. For more information on this episode’s sponsor—Corporate Compliance Insights, check out their website here. 

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 In today’s edition of Daily Compliance News:Braskem Board OK’s $101MM for corruption settlement. (Reuters)Mexican steel company shut down by Mexican government for AML violations. (FT)Workers of America unite? (Washington Post)The long road ahead for Fiat-Chrysler/Renault. (NYT)

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 In today’s edition of Daily Compliance News:Braskem Board OK’s $101MM for corruption settlement. (Reuters)Mexican steel company shut down by Mexican government for AML violations. (FT)Workers of America unite? (Washington Post)The long road ahead for Fiat-Chrysler/Renault. (NYT)

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In today’s edition of Daily Compliance News:

·       Is corruption across the EU ‘stunning’? (BBC)·       What is management duty to set right tone at the top? (Harvard Law School Forum on Corporate Governance and Financial Regulation)·       What is leadership in action? (Washington Post)·       Why did it take you so long? Nike ends financial penalties for pregnant athletes. (NYT)

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Today we conclude a five-part podcast series sponsored by Hanzo, where we have considered how to leverage Artificial Intelligence (AI) in compliance investigations. I have been joined by several members of the Hanzo team as we explored the current best practices around investigations and how your compliance function can take investigations to a level of cost efficiency and operational proficiency. Our explorations include considering the current Department of Justice (DOJ) guidance on investigations, the use of AI in the Hanzo Investigator, how Hanzo technology can help a company overcome common investigative challenges and Hanzo’s specific approach to finding and managing data across the entire lifecycle of an investigation. In Part 5, I am once again joined by Keith Laska to consider how the company’s specific approach to finding and managing data across the entire lifecycle of an investigation improves the efficiency of a compliance investigation in a cost-effective manner.  For more information check out Hanzo.co. 

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I am on a five-part podcast series sponsored by Hanzo. In this series we consider how to leverage artificial intelligence (AI) in compliance investigations. In this series I am joined by several members of the Hanzo team as we explore the current best practices around investigations and how your compliance function can take investigations to a level of cost efficiency and operational proficiency. Our explorations includes considering the current Department of Justice (DOJ) guidance on investigations, the use of AI in the Hanzo Investigator, how Hanzo technology can help a company overcome common investigative challenges and Hanzo’s specific approach to finding and managing data across the entire lifecycle of an investigation. In this Part 4 I am joined by Keith Laska, Chief Commercial Officer at Hanzo to consider how the use of AI in investigations improves the workflow and processes around solving complex problems that compliance professionals experience when work around data. For more information, check out the Hanzo Dynamic Investigator in more detail and how it will assist you moving forward. For more information visit Hanzo.co.

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This week I embark on a five-part podcast series sponsored by Hanzo. In this series we consider how to leverage artificial intelligence (AI) in compliance investigations. In this series I am joined by several members of the Hanzo team as we explore the current best practices around investigations and how your compliance function can take investigations to a level of cost efficiency and operational proficiency. Our explorations includes considering the current Department of Justice (DOJ) guidance on investigations, the use of AI in the Hanzo Investigator, how Hanzo technology can help a company overcome common investigative challenges and Hanzo’s specific approach to finding and managing data across the entire lifecycle of an investigation. In this Part 3, I am joined by again Jim Murphy, VP for Products at Hanzo to consider more specifically how this technology has been used by legal professionals in the past and why this matters for compliance professionals going forward.  For more information, check out the Hanzo Dynamic Investigator in more detail and how it will assist you moving forward. For more information visit Hanzo.co.

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This week I embark on a five-part podcast series sponsored by Hanzo. In this series we consider how to leverage artificial intelligence (AI) in compliance investigations. In this series I am joined by several members of the Hanzo team as we explore the current best practices around investigations and how your compliance function can take investigations to a level of cost efficiency and operational proficiency. Our explorations includes considering the current Department of Justice (DOJ) guidance on investigations, the use of AI in the Hanzo Investigator, how Hanzo technology can help a company overcome common investigative challenges and Hanzo’s specific approach to finding and managing data across the entire lifecycle of an investigation. We begin today with Part 2 where I am joined by Jim Murphy, VP for Products at Hanzo to consider how to conduct more conclusive compliance investigations with AI and web-based evidence. For more information, check out the Hanzo Dynamic Investigator in more detail and how it will assist you moving forward. For more information visit Hanzo.co.

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Array ( [id] => 29f821c2-7e59-11e9-a1c7-ab4c42b5470c [createdAt] => 2019-05-24T12:21:43.265-07:00 [updatedAt] => 2019-05-24T12:32:52.817-07:00 [title] => Leveraging AI in Compliance Investigation: Part 1-Current State of Investigations [pubdate] => 2019-05-26T21:00:00.000-07:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/29f821c2-7e59-11e9-a1c7-ab4c42b5470c/image/uploads_2F1558725563465-emhviz0fkf-e055a232e1d2c506426adcf38a2b6a0b_2FInvestigations%2BLogo.JPG?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => 1 [subtitle] => This leveraging of AI in compliance investigations is a critical part of today's best practices compliance program. Learn more in this Episode 1 of this exciting five-part podcast series. [summary] =>

This week I embark on a five-part podcast series sponsored by Hanzo. In this series we consider how to leverage artificial intelligence (AI) in compliance investigations. In this series I am joined by several members of the Hanzo team as we explore the current best practices around investigations and how your compliance function can take investigations to a level of cost efficiency and operational proficiency. Our explorations includes considering the current Department of Justice (DOJ) guidance on investigations, the use of AI in the Hanzo Investigator, how Hanzo technology can help a company overcome common investigative challenges and Hanzo’s specific approach to finding and managing data across the entire lifecycle of an investigation. We begin today with Part 1 where I am joined by Sean Freidlin, Hanzo’s Senior Product Marketing Manager, Compliance, to consider the current state of investigations. Join us in our next episode where we consider the Hanzo Dynamic Investigator in more detail and how it will assist you moving forward. For more information visit Hanzo.co.

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n today’s edition of Daily Compliance News:Oliver Wendall Holmes by Stephen BudianskyBrothers Down by Walter BornemanSacred Duty by Tom CottonRise and Fall: The Story of 9/11 by Mitchell Zuckoff

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In today’s edition of Daily Compliance News:Chief Executives behaving badly. (Financial Times)Deloitte offices raided in connection with 1MDB scandal. (Channel News Asia)What is leadership? (WSJ)What is a conflict of interest? (Wall Street Journal)

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In today’s edition of Daily Compliance News:BeIN Media Group CEO charged in corruption scandal. (FoxNews)Deutche Bank finds flaw in reporting system. (Wall Street Journal)Whose in your supply chain? (NYT)Compliance staff for banks tough to find? (Wall Street Journal)

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In today’s edition of Daily Compliance News:

Guyana Investigating Leases Controlled by Exxon & Tullow (Bloomberg)In EU 75% of those who observe illegal corp activity afraid to report it. (FT)KPMG to be hit by massive fine in UK. (Reuters)What is risk management (as in when its life or death)? (Wall Street Journal)

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In today’s edition of Daily Compliance News:What is ethics? Pimco and Rick Singer (WSJ)Big changes coming to Corporate Leniency Program? (DOJ Press Release)France seeks trial of former IAAF head. (Financial Times)Former South Africa President wants corruption charges thrown out. (Bloomberg)

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In today’s edition of Daily Compliance News:

·       So many myths, so little time. The FT lunches with Laura Codruta Kövesi. (FT)·       Red flags on Trump and Kushner? I’m shocked. (New York Times)·       Government official demands he stay at his company’s hotel to visit Irish government. Is it extortion? (Washington Post)·       Compliance Week 2019 kicks off (it’s not too late to attend). (Compliance Week)

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During this five-part podcast series, sponsored by Assent Compliance Inc. (Assent), I have explored market access for supply chain data. I have visited with several Assent team members to introduce the topic, consider what market access is, provide an overview of trade compliance, Federal Acquisition Register (FAR) flow downs, the value of continuous monitoring and the origins of laws impacting market access. In this fifth and final episode, James Calder, Vice-President of Compliance and Regulatory Programs, and I discuss how chemical and product compliance impacts access to markets and supply chain compliance. You can check out more about Assent Compliance Inc. at their website, by clicking here.

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Over this five-part podcast series, sponsored by Assent Compliance Inc. (Assent), I have been exploring market access for supply chain data. I have visited with several Assent team members to introduce the topic, consider what market access is, provide an overview of trade compliance, Federal Acquisition Register (FAR) flow downs, the value of continuous monitoring and the origins of laws impacting market access. In episode four, Travis Miller, General Counsel (GC), and I discuss how the regulatory requirements of the Federal Acquisitions Regulations (FARs) impact access to markets and supply chain compliance. Join us tomorrow for our final episode where I visit with James Calder on Chemical and Product Compliance. You can check out more about Assent Compliance Inc. at their website, by clicking here. 

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In this five-part podcast series, sponsored by Assent Compliance Inc. (Assent), I explore market access for supply chain data. Over this series, I have visited with several Assent team members to introduce the topic, consider what market access is, provide an overview of trade compliance, Federal Acquisition Regulations (FAR) flow downs, the value of continuous monitoring and the origins of laws impacting market access. In episode three, I discuss with Jared Connors, Subject Matter Expert in Corporate Social Responsibility (CSR),  the value of continue monitoring in trade compliance. Join us tomorrow where we consider Federal Acquisition Register (FAR) flow downs. You can check out more about Assent Compliance Inc. at their website, by clicking here. 

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Array ( [id] => ab66524e-7821-11e9-a037-e36b0dc755cd [createdAt] => 2019-05-16T14:29:21.619-07:00 [updatedAt] => 2019-05-16T14:29:45.678-07:00 [title] => Maintaining Market Access: Part 2 - Trade Compliance [pubdate] => 2019-05-19T21:03:00.000-07:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/ab66524e-7821-11e9-a037-e36b0dc755cd/image/uploads_2F1558042018741-449lerk7ko6-8d5bf84c10fa86b93595480e6cf51436_2FAssent2.1.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => 2 [subtitle] => Why is trade compliance critical to maintaining market access? [summary] =>

In this five-part podcast series, sponsored by Assent Compliance Inc. (Assent), I explore market access for supply chain data. In this series, I visit with several Assent team members to introduce the topic, consider what market access is, provide an overview of trade compliance, Federal Acquisition Register (FAR) flow downs, the value of continuous monitoring and the origins of laws impacting market access. In episode two, I continue the conversation with Travis Miller, General Counsel (GC). We introduce the topic of trade compliance and how this new era of trade wars has created such challenges. Join us tomorrow where consider the value of continuous monitoring in trade compliance and the Supply Chain. You can check out more about Assent Compliance Inc. at their website, by clicking here. 

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Array ( [id] => f6c27d30-773b-11e9-84c4-03941b54365f [createdAt] => 2019-05-15T11:05:03.812-07:00 [updatedAt] => 2019-05-15T11:05:23.645-07:00 [title] => FCPA Compliance Report-Episode 430, Scott Moritz on a Forensic Response to Varsity Blues [pubdate] => 2019-05-19T21:01:00.000-07:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/f6c27d30-773b-11e9-84c4-03941b54365f/image/uploads_2F1557943323006-g3mvar6dfvq-c78414ff9c0b0114c251d0ea3bccf9ea_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 430 [subtitle] => In this episode I visit with Scott Moritz, the Global Lead, Protiviti Forensics. We discuss the Varsity Blues scandal from the forensic perspective. [summary] =>

In this episode I visit with Scott Moritz, the Global Lead, Protiviti Forensics. We discuss the Varsity Blues scandal from the forensic perspective. Some of the highlights from the podcast include: Ø  What would a root cause analysis show?Ø  Every college and university need to do a full analysis of its admissions process. From soup to nuts, a complete review. Ø  With so much in the public domain, there is a clear road map to do so.Ø  How should you pressure test your control environment?Ø  What is the curriculum around business ethics? These words must also mean for each institution to look inward. Ø  What will you do when the government comes knocking? 

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Array ( [id] => 3f41b82e-7808-11e9-be5b-6f4b2ebda983 [createdAt] => 2019-05-16T11:27:22.773-07:00 [updatedAt] => 2019-05-16T14:24:46.666-07:00 [title] => Maintaining Market Access: Part 1 - Introduction to Market Access [pubdate] => 2019-05-19T21:00:00.000-07:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/3f41b82e-7808-11e9-be5b-6f4b2ebda983/image/uploads_2F1558031311984-tu2b2q717ap-c5f4ec27f8c110fc394b46ec44a03e56_2FTF%2BSeries%2B2.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => 1 [subtitle] => In this Episode 1 of a five-part podcast series, sponsored by Assent Compliance, I visit with Travis Miller, General Counsel at Assent Compliance. We introduce the topic of market access and how companies are responding to these requirements. [summary] =>

In this five-part podcast series, sponsored by Assent Compliance Inc. (Assent), I explore market access for supply chain data. During the course of this series, I visit with several members of the Assent team to introduce the topic, consider what market access is, provide an overview of trade compliance, Federal Acquisition Register (FAR) flow downs, the value of continuous monitoring and the origins of laws impacting market access. In episode one, I visit with Travis Miller, General Counsel (GC). We introduce the topic of market access and how companies are responding to these requirements. Join us tomorrow where provide an overview of trade compliance. You can check out more about Assent Compliance Inc. at their website, by clicking here.

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Array ( [id] => 93b78e3a-7973-11e9-b7e4-eb9813fbcef0 [createdAt] => 2019-05-18T00:34:11.803+02:00 [updatedAt] => 2019-05-18T15:48:12.093+02:00 [title] => Daily Compliance News: May 19, 2019-the Sunday Book Review-con men edition [pubdate] => 2019-05-19T06:00:00.000+02:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => In this Sunday Book Review edition of the Daily Compliance News for May 19, 2019, I take a look at five books dealing with con men. [summary] =>

In today’s edition of Daily Compliance News:King Con by Paul WillettsChasing Phil by David HowardUltimate Folly by Henry MacroryDuped by Abbe EllinThe Confidence Game by Maris KonnikovaAdditional resources-Golden Age of the Grift

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Array ( [id] => 2fe0601a-78f3-11e9-8a69-ff2a3a862b46 [createdAt] => 2019-05-17T15:18:41.823-07:00 [updatedAt] => 2019-05-17T15:29:09.313-07:00 [title] => Daily Compliance News: May 18, 2019-the more bad news from Brazil edition [pubdate] => 2019-05-17T21:00:00.000-07:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => What some of the top compliance and corruption stories for May 18, 2019? Check in with Tom Fox on the Daily Compliance News. [summary] =>

In today’s edition of Daily Compliance News:

Four more banks named in London bribery suit. (Bloomberg)Can blockchain help in the fight against corruption? (World Economic Forum)South African President appoints new head of bribery unit. (Reuters)FBI targets Johnson & Johnson, Siemens, GE, Philips in Brazilian graft case. (Reuters)

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Array ( [id] => da82feb4-78c7-11e9-b5de-f32b2146d6b1 [createdAt] => 2019-05-16T13:17:27.053-07:00 [updatedAt] => 2019-05-17T10:18:57.790-07:00 [title] => This Week in FCPA-Episode 154 - the Take It Back edition [pubdate] => 2019-05-17T09:26:00.000-07:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 154 [subtitle] => The Astros continue their inexorable march back to the World Series (Take It Back) as the Red Sox hover at .500. Never one to gloat, Tom takes a break to join Jay to discuss both events some of this week’s top compliance and ethics stories which caught their collective eyes. [summary] =>

This week's highlights include:

1.    Uber stumbles at going IPO. What role did its culture, lack of compliance and ethics play? 2.    Belying those who advocate a paper program compliance defense, DOJ/SEC require compliance programs which actually works. 3.    What is up with Ephemeral Messaging for Businesses? Avi Gessner, Daniel Foerster and Mengyi Xu consider. 4.    What criteria should be used to make reparations to victims of corruption? Sam Hickey explores. 5.    Hong Kong criminally indicts ex-JP Morgan banker in Princeling case. Harry Cassin reports.6.     FCPA Unit head Dan Kahn discusses evolution in FCPA enforcement. Clara Hudson reports. 7.How should you repay victims of corruption? Sam Hickey. 8.    Federal judge lambastes SEC for filing on VW nearly 4 years after emissions-testing scandal erupted. David Shepardson reports.10.  What is the fraud risk for non-profits? 11.  Join Tom and Jay at Compliance Week 2019. It is one of the top compliance and ethics conferences of the year. This year, Tom is joined by Jonathan Marks in leading a pre-conference workshop on Sunday afternoon about handling internal investigations and performing a root cause analysis. Monday will include a keynote address from the always popular Hui Chen, Tuesday Preet Bharara. As a listener, you are eligible for a discount on the conference cost. Enter code “TOM300” at checkout to save $300 from your registration. Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.  For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com. 

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Array ( [id] => 1b6c8dde-7772-11e9-a37f-df1e5db14a60 [createdAt] => 2019-05-15T17:29:42.483-07:00 [updatedAt] => 2019-05-15T17:32:38.733-07:00 [title] => Daily Compliance News: May 16, 2019-the CEOs and ethical lapses edition [pubdate] => 2019-05-15T21:00:00.000-07:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => What were some of the top ethics and compliance stories for May 16, 2019? Check out the Daily Compliance News to find out. [summary] =>

In today’s edition of Daily Compliance News:More business leaders forced out for ethical lapses than for poor financial performance in 2019. (Washington Post)Do large companies fear legal violations? (New York Times)Nordic/Baltic countries agree to share AML information. (Wall Street Journal)Anti-corruption measures as KPIs for government ministers. What a novel idea. (Yahoo Business News)

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Array ( [id] => e0dbcc7a-7708-11e9-913c-471f05ec756a [createdAt] => 2019-05-15T04:57:16.744-07:00 [updatedAt] => 2019-07-18T09:29:53.055-07:00 [title] => Everything Compliance-Episode 46, the Justice Department's 2019 Guidance for FCPA Compliance Programs [pubdate] => 2019-05-15T04:52:00.000-07:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 46 [subtitle] => This entire episode is dedicated to the recently released Evaluation of Corporate Compliance Programs-2019 Guidance [summary] =>

Welcome to the only roundtable podcast in compliance. Today, we have the full quintet of Mike Volkov, Jay Rosen, Matt Kelly, Jonathan Armstrong and our newest colleague, Sarah Hadden. We take on one topic which the panelist explores from their expertise. The topic is the Justice Department’s Evaluation of Corporate Compliance Programs-2019 Guidance which was recently released.

Sarah Hadden puts on her journalist hat to consider the 2019 Guidance in the context of transparency by DOJ in releasing this information critical for compliance going forward. Sarah rants on all those in the Everything Compliance gang who attended the ECI Impact 2019 conference in her hometown of Dallas and did not reach out to connect with her. (And we know who we are)Matt Kelly considers some different questions such as: Is there anything new? Does it mean any difference in practice? Is it simply a way to wipe out one of the core legacies of Hui Chen? Matt rants on the Trump Administration which said only a couple of weeks ago said it was cracking down on Agency and Department Guidance and literally turns around and issues the 2019 Guidance. Which is it guys?Jay Rosen discuss the original Benczkowski Memo as a precursor to the new 2019 Guidance and how the Benczkowski Memo lays out a roadmap to avoid a monitor by using pro-active assessments. Jay shouts out to the Boston Red Sox for reaching .500. (Matt chastises Jay for now jinxing the Sox)Mike Volkov discusses how the Justice Department is using the state of compliance programs not only at time of violation but also at time of conclusion to reward companies with lower penalties. Mike shouts out to both Brian Benczkowski/DOJ for this new FCPA Compliance Guidance and the Department of Treasury for OFAC guidance around money-laundering and trade sanctions compliance programs.Jonathan Armstrong compares and contrasts the 2019 Guidance document with the information released by SFO on compliance programs. He then considers what a ‘good’ compliance program looks like in his search for a ‘good’ recipe for the perfect Tikka Masala. He rants about the first UK data privacy regulatory action under GDPR, where the UK data protection agency sanctioned the UK government for violation of GDPR.

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Array ( [id] => 7f4a4de2-768b-11e9-895f-7374c4eea573 [createdAt] => 2019-05-14T22:53:27.373+02:00 [updatedAt] => 2019-05-14T23:02:12.001+02:00 [title] => Compliance into the Weeds: Episode 123-Whistleblower Protection [pubdate] => 2019-05-15T06:05:00.000+02:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 123 [subtitle] => In this episode, Matt and I take a deep dive into the House Financial Services bill, HR 2515, which amends the Dodd-Frank Act to clarify that whistleblowers who report misconduct to their employers and not to the SEC also have protections against retaliation under the law. [summary] =>

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. In this episode, Matt Kelly (the coolest guy in compliance) and I take a deep dive into the House Financial Services bill, HR 2515, which amends the Dodd-Frank Act to clarify that whistleblowers who report misconduct to their employers and not to the SEC also have protections against retaliation under the law. This bill fixes the US Supreme Court decision in Digital Realty Trust which mandated that whistleblowers had to go to the SEC to obtain Dodd-Frank anti-retaliation protection. Some of the highlights include: Some of the highlights include: Ø What was the ruling in Digital Realty Trust?Ø Why did it negatively impact whistleblowers, companies and the SEC?Ø What has made whistleblowers and internal reporting so significant?Ø How does the proposed fix benefit whistleblowers, companies and the SEC?Ø Why should businesses get behind this proposed fix?Ø What are the chances it actually is signed into law? For more reading check out Matt’s blog post “Progress on Whistleblower Fix” 

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In today’s edition of Daily Compliance News:

·       FCA Whistleblowers given additional protection by US Supreme Court . (Mondovisione)·       More regulatory on capture of the FAA by Boeing? (Wall Street Journal)·       Why good governance matters. (Financial Times)·       CEO pays fine, penalty includes teaching business ethics. (Yahoo Business News)

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In today’s edition of Daily Compliance News:Judge scolds SEC over VW lawsuit. (WSJ)With friends like this? (Corporate Counsel)Bombadier faces World Bank debarment. (org.cn)Things go from bad to terrible for Bayer. (WSJ)

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Array ( [id] => 1bf6b43e-71e4-11e9-8edb-9b20326e4490 [createdAt] => 2019-05-08T18:53:34.699-04:00 [updatedAt] => 2019-05-08T20:04:44.378-04:00 [title] => FCPA Compliance Report-Bonus Episode-ECI High Quality Program Framework Assessent [pubdate] => 2019-05-13T00:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/1bf6b43e-71e4-11e9-8edb-9b20326e4490/image/uploads_2F1557353638526-f7vrzftqomn-7c350c7b87698e631f8f57760574498b_2FFCPA%2BCompliance%2BReport_widescreen.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => [subtitle] => FCPA Compliance Report-Bonus Episode-ECI High Quality Program Framework Assessent [summary] =>

In special bonus episode, I present a full hour's presentation of a panel discussion I recently chaired at the ECI Impact 2019 conference. The panel consisted of Steve Scarpino, Director, Ethics and Compliance at BP; Suzanne Mitchell, CCO at US Foods; and Karen Clapsaddle, Ethics Director Lockheed Martin. They were all involved in the design and creation of the ECI High Quality Program and had experience with the Framework Assessment. It was a great review of the HQP and discussion of not only the design of the Framework Assessment but how your company might use it going forward.  

Some of the highlights included:The five elements of the HQP;What are the Framework Assessment maturity curves;What level of optimization should companies aspire to'Can the Framework Assessment be used as internal measure;How much is the Framework Assessment quantitative v. qualitative driven?Does a company need to meet all the supporting objectives to be assessed as optimizing?How should you use and communicate maturity levels within your organization?Is backsliding possible?Is there a 'one-size-fits-all'?For additional resources:

Check out the ECI website here.

More on the ECI High Quality Program.

How to use the Framework Assessment.

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In today’s edition of Daily Compliance News:DOJ asks Judge to remove lead defense counsel for Huawei. (NYT)Did cost cutting cause Boeing 737 Max crashes? (Bloomberg)House Financial Services approves bill to overturn Digital Trust Realty. (Radical Compliance)States allege generic drug makers obstructed justice in cartel probe. (Washington Post)

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In today’s edition of Daily Compliance News:

·      What is data security? Ask Jonathan Armstrong. (Financial Times)·      Uber tanks at IPO opening. What did compliance have to do with it? (WSJ)·      SEC Thursday fined Telefônica Brasil S.A. $4.125MM for World Cup tickets. (FCPABlog)·      What to do when the boss tells you to lie to the feds? Ask Don McGahn. (New York Times)

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Array ( [id] => 6289d4e2-72b3-11e9-beb7-d3bba754358d [createdAt] => 2019-05-09T17:47:14.940-04:00 [updatedAt] => 2019-05-09T19:37:19.251-04:00 [title] => This Week in FCPA-Episode 153 – the You’ll Never Walk Alone edition [pubdate] => 2019-05-10T00:06:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 153 [subtitle] => This Week in FCPA-Episode 153 – the You’ll Never Walk Alone edition [summary] =>

A big tip of the hat to the Liverpool Football Club for its stunning 4-0 trouncing of Barcelona at Anfield to roar back into the Champions League finals for the second consecutive year. With Tom still singing You’ll Never Walk Alone, he takes a break to join Jay to discuss both events some of this week’s top compliance and ethics stories which caught their collective eyes.Roger Ng extradited to US. Is he cooperating with authorities? Want to take a deep dive into the 2019 Guidance. Who are the Top Minds for 2019? Regime change ensnares two more companies: Shell and ENI.What is the Corporate Identification Doctrine in Canada and the UK? Would you but a new plane from Boeing? Should compliance be siloed? What is moral harassment and will it ever be prosecuted in the US. JIn Part 2 of a two-part series on monitors, Jay discusses dealing with a monitor after the settlement. What happens when the DOJ outsources its investigations? Two low level players convicted in NCAA bribery case. Tom has a special 5-part podcast series with Don Stern, Managing Director at AMI on Use of Monitors by Defense Counsel. Check out the following: Part 1-Introduction;Part 2-the Nuts and Bolts; Part 3- Case Studies; Part 4-in the Health Care industry; Part 5-Non-Profits and Varsity Blues. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone,YouTube,  Spotifyand Corporate Compliance Insights. The Compliance Podcast NetworkTom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is       Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.

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In today’s edition of Daily Compliance News:Theranos founder Elizabeth Holmes defense? The government defrauded Theranos (not the other way around). (New York Times)Wells Fargo creates new compliance position but promotes old employee into it. (Financial Times)Too many auditor findings of insufficient controls? SEC solution, eliminate the requirement. (MarketWatch)Deutsche Bank accused of bribery in London lawsuit. (Bloomberg)

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In today’s edition of Daily Compliance News:

·       Regime change and more corruption claims. (Bloomberg)·       Another guilty plea in NCAA hoops bribery scandal. (NY Daily News)·       US returns $200MM in corrupt funds back to Malaysia. (Financial Times)·       UK regulator spanks KPMG over poor audit. (Wall Street Journal)

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In today’s edition of Daily Compliance News:

Judge says Roger Ng in negotiations with the DOJ, although his lawyer denies it. (New York Times)Colleges in ‘Willful Ignorance’ of corruption, say it ain’t so. (Law360)It’s a bad day when the FT Editorial Board spanks you. (Financial Times)Former Danske bank CEO charged in money-laundering scandal? (Reuters)

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In today’s edition of Daily Compliance News:

·       Roger Ng extradited to US. (New York Times)·       Closing arguments made in NCAA bribery scandal case. (ESPN)·       Hell hath no fury like a competitor scorned. (Financial Times)·       What happens when safety is ‘just a given’ at the Board level? (Washington Post)

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In this five-part podcast series, sponsored by Affiliated Monitors, Inc. (AMI); I have been joined by AMI Managing Director Stern. We have considered how defense counsel can work proactively with independent monitors to help clients who may have sustained an ethical or compliance violation or are under government scrutiny for allegations of illegal misconduct in a wide variety of industries, disciplines and corporate settings. In this concluding episode, we look at a third-party independent in non-profit setting and how it could help universities survive Varsity Blues. Find out more about Affiliated Monitors Inc. by checking out their website here.

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In this five-part podcast series, sponsored by Affiliated Monitors, Inc. (AMI); I am joined by AMI Managing Director Stern. We consider how defense counsel can work proactively with independent monitors to help clients who may have sustained an ethical or compliance violation or are under government scrutiny for allegations of illegal misconduct in a wide variety of industries, disciplines and corporate settings. In this fourth episode, we look at a third-party independent in the health care setting. Join us in our concluding episode in which we consider working with independent third-party monitor in the non-profit setting and the Varsity Blues scandal. Find out more about Affiliated Monitors Inc. by checking out their website here. 

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In this five-part podcast series, sponsored by Affiliated Monitors, Inc. (AMI); I am joined by AMI Managing Director Stern. We consider how defense counsel can work proactively with independent monitors to help clients who may have sustained an ethical or compliance violation or are under government scrutiny for allegations of illegal misconduct in a wide variety of industries, disciplines and corporate settings. In this third episode, we look at some case studies. Case studies are something every lawyer and compliance practitioner responds to because it presents real facts and events that the corporate compliance discipline can learn from and hopefully incorporate these lessons learned into their organizations. 

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In this five-part podcast series, sponsored by Affiliated Monitors, Inc. (AMI); I am joined by AMI Managing Director Stern. We consider how defense counsel can work proactively with independent monitors to help clients who may have sustained an ethical or compliance violation or are under government scrutiny for allegations of illegal misconduct in a wide variety of industries, disciplines and corporate settings. In this second episode, take a deep dive into the nuts and bolts of defense counsel working with a third-part independent monitor. Join us in our next episode in which we consider case studies where an independent third-party monitor was used successfully by defense counsel. Find out more about Affiliated Monitors Inc. by checking out their website here. 

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In today’s edition of Daily Compliance News:

·       Regulatory capture, regulatory ineptitude or just don’t care? (Washington Post)·       1MDB diamonds headed to US. (Reuters)·       Boeing knew about safety issue for 1 year before informing FAA. (Wall Street Journal)·       Why compliance needs a seat at the grown-ups table. (Wall Street Journal)

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Array ( [id] => ddb5e7e4-683d-11e9-a784-0b49a4c90f60 [createdAt] => 2019-04-26T12:10:53.336-04:00 [updatedAt] => 2019-04-26T12:11:17.452-04:00 [title] => FCPA Compliance Report-Episode 429, James Koukios on MoFo’s February Anti-Corruption Newsletter [pubdate] => 2019-05-06T01:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/ddb5e7e4-683d-11e9-a784-0b49a4c90f60/image/uploads_2F1556294800239-rz333s3j2h-bf741c8772164309cd3009e5bf1ee049_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 429 [subtitle] => FCPA Compliance Report-Episode 429, James Koukios on MoFo’s February Anti-Corruption Newsletter [summary] =>

In this episode I have back with me, fan favorite James Koukios, partner at Morrison and Foerster.  This is Part 2 of a two-part series where we discuss the firm’s always great Top 10 International Anti-Corruption Developments newsletter. In this episode, we take a look at some of the key highlights from the February newsletter. In the most recent episode, we detailed some of the key developments from the January newsletter. We also have a special segment on the FCPA Opinion Release Procedure. Some of the highlights from the podcast include:

DOJ Files $38 Million Civil Forfeiture Action in Connection with Malaysia Sovereign Wealth Fund ScandalWhat is the role of civil forfeiture in anti-corruption enforcement?9thCircuit Court of Appeals Vacates Federal Whistleblower Retaliation Verdict Against Bio-Rad. What does this mean for whistleblower cases going forward?UK Serious Fraud Office Closes Two Foreign Bribery Cases. Gutless move on the part of the new director or is something else going on?What is the Opinion Release Procedure? How a company can use it? What happens on the DOJ side once a request comes into the DOJ?For further reading, see the Morrison and Foerster Top 10 International Anti-Corruption Developments for February 2019, by clicking here.

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Array ( [id] => 95d8df76-6e91-11e9-bd6f-97718bb6afe5 [createdAt] => 2019-05-04T10:25:17.469-07:00 [updatedAt] => 2019-05-04T10:29:33.536-07:00 [title] => Independent Monitoring and Proactive Assessments for Defense Attorneys-Part 1, Introduction [pubdate] => 2019-05-05T22:00:00.000-07:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/95d8df76-6e91-11e9-bd6f-97718bb6afe5/image/uploads_2F1556990444227-oqi42j4pdzp-6334fe0f25aed93d63cf366ce636aef7_2FAMI-Defense%2BCounsel.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => 1 [subtitle] => Independent Monitoring and Proactive Assessments for Defense Attorneys-Part 1, Introduction [summary] =>

In this five-part podcast series, sponsored by Affiliated Monitors, Inc. (AMI); I am joined by AMI Managing Director Stern. We consider how defense counsel can work proactively with independent monitors to help clients who may have sustained an ethical or compliance violation or are under government scrutiny for allegations of illegal misconduct in a wide variety of industries, disciplines and corporate settings. In this first episode, we introduce the concept of defense counsel working with independent monitors. Join us in our next episode where we dive into the weeds by looking at the nuts and bolts of working with a third-party independent monitor. Find out more about Affiliated Monitors Inc. by checking out their website here. 

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In today’s edition of Daily Compliance News:

·       New David McCullough book. (Wall Street Journal)·       How streaming changed music and us. (Financial Times)·       The Lord Lucan Murder case still fascinates. (Financial Times)·       Harper Lee lives on. (New York Times)

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In today’s edition of Daily Compliance News:What to do when the founder is toxic? (New York Times)Michael Senna informs 3rdparty risk management. (Wall Street Journal)Exxon sues Cuban companies for expropriation. (Wall Street Journal)Model airplane enthusiasts stop drone delivery. (Financial Times)

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In today’s edition of Daily Compliance News:

·  Insys execs found guilty of racketeering. (New York Times)    Is a socialist revolt coming? (New York Times)·       What’s the going rate for paying BB players at Arizona? Apparently as high as $10K per month. (ESPN)·       Where goeth Tesla? Hat in hand looking for cash apparently. (Wall Street Journal)

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In today’s edition of Daily Compliance News:

·      Wall Street Journal·      Radical Compliance·      FCPA Compliance and Ethics Blog (Part 1)·       Board and Fraud

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Array ( [id] => b74fde46-69e8-11e9-9c99-1373b1b8a8fb [createdAt] => 2019-04-28T15:05:05.727-04:00 [updatedAt] => 2019-04-28T15:06:24.418-04:00 [title] => Life With GDPR: Episode 26- The Importance of Passwords [pubdate] => 2019-05-02T01:03:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 26 [subtitle] => Life With GDPR: Episode 26- The Importance of Passwords [summary] =>

In this episode, I visit with Jonathan Armstrong a topic which does not seem to garner the attention that it deserves in data protection; that being passwords. Some of the issues and highlights are: What is two-factor authentication? How, when and where should your use it?What are the most common passwords still in use?Why are passwords one of the most basic forms of data security protection?What are the lessons to be learned? For more information on Cordery Compliance, go their website here. Also check out the GDPR Navigator, one of the top resources for GDPR Compliance by clicking here.

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Array ( [id] => 47e35392-6acb-11e9-bd50-9fe442ca10c5 [createdAt] => 2019-04-29T20:51:28.842+02:00 [updatedAt] => 2019-04-30T00:08:13.181+02:00 [title] => Compliance into the Weeds: Episode 121-The Role of the CRO in ERM [pubdate] => 2019-05-01T07:03:00.000+02:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 121 [subtitle] => Compliance into the Weeds: Episode 121-The Role of the CRO in ERM [summary] =>

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. In this episode, Matt Kelly (the coolest guy in compliance) and I take a deep dive intothe role of the Chief Risk Officer in overall Enterprise Risk Management. Some of the highlights include: Some of the highlights include: Ø Why  is effective ERM is more than simply operationalization of ethics and compliance?Ø Why the Board and senior management must take a holistic approach to ERM? Ø Why is it even more important for Boards and senior management to have better risk governance?Ø How do you define the role of Chief Risk Officer?Ø What is the role of internal audit in today’s analytical world of risk management?Ø Could or even should the role of the Chief Audit Officer evolve into the role of a Chief Risk Officer? For more reading check out Matt’s blog post “The Chief Risk Officer Role”. Also listen to the Radical Compliance podcast here.

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In today’s edition of Daily Compliance News:

·      What happens when your customer is hit by scandal? (Wall Street Journal)·      Tear gas and the Whitney, what does it all mean? (New York Times)·       Boeing CEO confronts hostile shareholders. (Washington Post)·       Will the EU do something about money-laundering? (Financial Times)

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In today’s edition of Daily Compliance News:Prosecutors ask for hold on Sunny Balwani SEC civil action. (MarketWatch)What’s $5bn among friends? (New York Times)Did Varsity Blues parents engage in a conspiracy or just old-fashioned bribery? (New York Times)Bank regulators behaving badly. (Financial Times)

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Array ( [id] => 514e6384-686b-11e9-a565-b77a304d1f8a [createdAt] => 2019-04-26T14:35:26.662-07:00 [updatedAt] => 2019-04-26T14:40:14.002-07:00 [title] => Across the Board – Episode 5: The Road Ahead [pubdate] => 2019-04-28T22:11:00.000-07:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 5 [subtitle] => Across the Board – Episode 5: The Road Ahead [summary] =>

Over this special 5-part podcast series, I have visited with David Greenberg, Special Advisor at LRN. We took a deep dive into the LRN White Paper entitled, “What’s the Tone at the Very Top: Board and Compliance: The Role of Boards in Overseeing Corporate Ethics & Compliance”. In this podcast series we explore the white paper in depth and provide the Chief Compliance Officer and compliance practitioner with succinct and practical tips for educating, dealing with and reporting to a Board of Directors. In this fifth and final episode, we look at the road ahead. The White Paper stated, “Over time, the gulf between CECOs and boards should be bridgeable. We believe the bridge should be built quickly. The sooner that CECOs have the board’s ear – and that directors are fully aware of what CECOs and the initiatives they lead can bring to the table –the stronger and more resilient their companies will be.

Some of the highlights from the podcast include:What practical steps should be taken to engage the board more actively and effectively in ethics and compliance oversight?More time, higher priority, stronger signals from boards in ethics and compliance oversight.Boards need to question whether ethics and compliance are genuinely integral to business operations.Elevate the CECO and establish direct and confidential reporting lines?What lays on the road ahead?Check out the LRN White Paper What’s the Tone at the Very Top: Board and Compliance: the Role of Boards in Overseeing Corporate Ethics & Complianceby clicking here.

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In this special 5-part podcast series, I am visiting with David Greenberg, Special Advisor at LRN. We are taking a deep dive into the LRN White Paper entitled, “What’s the Tone at the Very Top: Board and Compliance: The Role of Boards in Overseeing Corporate Ethics & Compliance”. In this podcast series we explore the white paper in depth and provide the Chief Compliance Officer and compliance practitioner with succinct and practical tips for educating, dealing with and reporting to a Board of Directors. In Episode 4, we look metrics which a BOD should consider and how a Board should oversee senior management around ethics, compliance and culture. Some of the highlights from the podcast include: Ø  CECOs want their boards will send stronger signals to executive management about the importance of embedding ethics and compliance in the company’s business.Ø  CECOs want boards to hold management more accountable for ethics and complianceØ  A BOD should ask management ‘What have you done to assure compliance. Show me.’ Ø  Why should a Board be concerned about metrics around culture?Ø  What measures should a Board employ for culture and ethics? Check out the LRN White Paper What’s the Tone at the Very Top: Board and Compliance: the Role of Boards in Overseeing Corporate Ethics & Complianceby clicking here.

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In this special 5-part podcast series, I am visiting with David Greenberg, Special Advisor at LRN. We take a deep dive into the LRN White Paper entitled, “What’s the Tone at the Very Top: Board and Compliance: The Role of Boards in Overseeing Corporate Ethics & Compliance”. In this podcast series we explore the white paper in depth and provide the Chief Compliance Officer and compliance practitioner with succinct and practical tips for educating, dealing with and reporting to a Board of Directors. In Episode 3, we consider many CECO’s concern that Boards do not dedicate sufficient time and priority to compliance nor go into sufficient depth into compliance programs and potential outcomes . Some of the highlights from the podcast include:Why don’t Boards put in more time around E&C programs?Why is compliance often the last item on the Board agenda and equally as often, left off for later?CECOs want to be challenged by their Boards but often are not.Does your Board have a compliance game plan?Why don’t BODs go deeper into E&C programs? How would they do so?Are Boards even asking the right questions?Check out the LRN White Paper What’s the Tone at the Very Top: Board and Compliance: the Role of Boards in Overseeing Corporate Ethics & Complianceby clicking here.

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In today’s edition of Daily Compliance News:SW Airlines not told of deactivated safety feature on Boeing 737 Max. (Wall Street Journal)Sexual harassment claims hit the energy industry. (I’m shocked) (Wall Street Journal)Welcome to my Tweet-Up, as Musk/SEC settlement twitter imbroglio. (Wall Street Journal)Power, corruption and duplicity in Alabama over a superfund site. (Washington Post)

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In this special 5-part podcast series, I am visiting with David Greenberg, Special Advisor at LRN. We take a deep dive into the LRN White Paper entitled, “What’s the Tone at the Very Top: Board and Compliance: The Role of Boards in Overseeing Corporate Ethics & Compliance”. In this podcast series we explore the white paper in depth and provide the Chief Compliance Officer and compliance practitioner with succinct and practical tips for educating, dealing with and reporting to a Board of Directors. In Episode 2, we consider the average Board of Director’s knowledge of compliance and your game plan going forward. Some of the highlights from the podcast include: Ø  Why don’t Boards have a better understanding of the compliance function within their organization?Ø  Why do BOD’s have such little knowledge of the CECO role?Ø  Why does the BOD tend to focus on what has passed rather forward looking?Ø  Does your Board have a compliance game plan?Ø  Why does a BOD need to develop a framework for discussing, evaluating, and measuring ethics and compliance?Ø  Why should BODs relate ethics and compliance to their companies’ core strategy and be able to have a sufficient point of view to guide and oversee it?  Check out the LRN White Paper What’s the Tone at the Very Top: Board and Compliance: the Role of Boards in Overseeing Corporate Ethics & Complianceby clicking here.

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In this special 5-part podcast series, I visit with David Greenberg, Special Advisor at LRN. We take a deep dive into the LRN White Paper entitled, “What’s the Tone at the Very Top: Board and Compliance: The Role of Boards in Overseeing Corporate Ethics & Compliance”. In this podcast series we explore the white paper in depth and provide the Chief Compliance Officer and compliance practitioner with succinct and practical tips for educating, dealing with and reporting to a Board of Directors. In Episode 1 we introduce the topic of what’s the tone at the very top of your organization. Some of the highlights from the podcast include: Ø  What’s the role of the Board around compliance and ethics?Ø  Why is it important for the Board to actively oversee a C&E program?Ø  What is the biggest disconnect between the BOD and the compliance function?Ø  Board members should think of compliance as beyond FCPA and Sarbanes-Oxley, yet there understanding is members’ fuzzy at best. Ø  Board members understand what auditors do, but they often do not understand compliance enough to ask intelligent questions.” Check out the LRN White Paper What’s the Tone at the Very Top: Board and Compliance: the Role of Boards in Overseeing Corporate Ethics & Complianceby clicking here.

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Array ( [id] => f7ab83fc-6833-11e9-b909-17fb83f4c22d [createdAt] => 2019-04-26T08:00:01.919-07:00 [updatedAt] => 2019-04-26T08:00:17.935-07:00 [title] => FCPA Compliance Report-Episode 428, James Koukios on MoFo’s January Anti-Corruption Newsletter [pubdate] => 2019-04-28T22:00:00.000-07:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/f7ab83fc-6833-11e9-b909-17fb83f4c22d/image/uploads_2F1556290562986-rvmzbblwemh-e535314c87c474f11bcfd543dac860a1_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 428 [subtitle] => Episode 428, James Koukios on MoFo’s January Anti-Corruption Newsletter [summary] =>

In this episode I have back with me, fan favorite James Koukios, partner at Morrison and Foerster.  This is Part 1 of a two-part series where we discuss the firm’s always great Top 10 International Anti-Corruption Developments newsletter. In this episode, we take a look at some of the key highlights from the January newsletter. Next week we conclude with some of the key developments from the February newsletter. Some of the highlights from the podcast include: Ø  Former Bankers Arrested on FCPA Charges in Mozambique Tuna Boat Scandal. Ø  Japan’s Olympics Chief Faces Corruption Charges in France. Ø  Two European Countries Take Steps to Strengthen Anti-Corruption Efforts.Ø  Italy Publishes New “Bribe Destroyer” Law. Ø  The UK Establishes Financial-Industry Task Force. For further reading, see the Morrison and Foerster Top 10 International Anti-Corruption Developments for January 2019, by clicking here.

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In today’s edition of Daily Compliance News:

·      What was behind “Our Man in Havana? (Financial Times)·      Why Ovid is still an inspiration. (New York Times)·       Life of John Hersy. (Wall Street Journal)·      The Best Five. Allison Lurie on heroines over 50. (Wall Street Journal)

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Array ( [id] => 23d31582-66e8-11e9-bdeb-47046b8b3238 [createdAt] => 2019-04-24T16:40:05.966-04:00 [updatedAt] => 2019-04-24T19:24:43.611-04:00 [title] => Episode 106-Metropolis by Philip Kerr [pubdate] => 2019-04-27T01:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 106 [subtitle] => Episode 106-Metropolis by Philip Kerr [summary] =>

Richard Lummis and I are back and today we head in a different direction. We consider the final Bernie Gunther novel by Philip Kerr Metropolis. It is the final Gunther novel as Kerr died earlier this year. The novel is a prequel to the entire series, taking place in 1928, near the end of the Weimar Republic. Some of the highlights were:The city of Berlin as a character in the novel;Bernie Gunther as Phillip Marlow?How close are the police to those they police?What is the symbiotic relationship between the police and criminals of the city?Why is the Weimar Republic in many ways the undiscovered country for Americans? andRichard and I asses not only this book but the entire Gunther series.

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In today’s edition of Daily Compliance News:

·      What hath Zion wrought? (NY Post)·      Petrobras revisiting its ill treatment of whistleblowers. (Reuters.com)·       Glencore under CFTC investigation for FCPA violations.(Bloomberg)·       Who owns Huawei? (The company says it’s the workers.)(New York Times)

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In today’s edition of Daily Compliance News:DOJ wants Goldman Sachs to plead guilty over 1MDB. (Financial Times)How did Wirecard generate its profits? (Financial Times)UK agrees to use Huawei to build out its 5G network. What will be the US response? (Financial Times)Be part of the $300MM pool of money—see Endgame this weekend. (Wall Street Journal)

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Array ( [id] => b247e5b6-6785-11e9-8d1d-bfb8b6582d8a [createdAt] => 2019-04-24T18:09:25.133-07:00 [updatedAt] => 2019-04-25T11:12:33.396-07:00 [title] => This Week in FCPA-Episode 151 – the World Domination edition [pubdate] => 2019-04-25T22:00:00.000-07:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 151 [subtitle] => This Week in FCPA-Episode 151 – the World Domination edition [summary] =>

Is the US utilizing FCPA enforcement for world domination? Recovering screenwriter Jay Rosen and frustrated novelist Tom Fox consider this while they also take a look at some of this week’s top compliance and ethics stories which caught their collective eyes this week. 

1.    Does the statute of limitations run while Trump is in office? Sara Kropf opines. 2.    What is the compliance response to the Varsity Blues scandal? Sandra Erez reports. 3.    NYDFS cybersecurity requirements are live, is your organization ready? Michael McGrath. 4.    Matt Kelly has a twitter storm on Boeing, sales strategy and ethics. Tom and Matt take a deep dive into the imbroglio. 5.    Is the US using FCPA to garner world domination? Henry Astier opines.6.    What are the best practices for managing employee hotline reports? Jaclyn Jaeger reports.7.    What do the WME companies have in common? Aarti Maharaj. 8.    Transparency challenges in CSR. Dunstan Allison-Hope. 9.    Tom is speaking at ECI’s IMPACT 2019 next week in Dallas about the importance of measuring the quality and maturity of your high quality E&C program. Regisration and information is available here. 10.  Join Tom and Jay at Compliance Week 2019 on May 20-22, in Washington DC. Listeners to this podcast can receive a $300 discount by using the code TOM300. You can check out the full agenda, see who’s speaking, and review registration information. 11. Sarah Hadden joins the Everything Compliance as our latest panelist. Listen in on Episode 45, the Drinkin’ the Kool-Aidedition.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. 

For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com. 

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Welcome to the only roundtable podcast in compliance. Today, in Episode 45 we celebrate our newest addition to the Everything Compliance gang; Sarah Hadden. Sarah is the Publisher at Corporate Compliance Insights, taking the helm from founder Maurice Gilbert earlier this year. She is a journalist by profession and has been working in the compliance space, largely at CCI for the past six years. She brings a wealth of talent, knowledge and perspective to our happy band of commentators and help us to 'drink the Kool-Aid.    Sarah Hadden discusses experiential learning. She uses that as a basis to consider what is effective training and how interactive training can lead to a new level of not simply effectiveness but awareness to recency bias which can cloud decision making. Sarah shouts out to internet service providers everywhere who were able to make the Mueller report available as soon as it was released.Matt Kelly discusses best practices around disclosing reporting data and using interactive technologies to improve Codes of Conduct, compliance policies and procedures. Matt rants on former White House Ethics Counsel, Stefan Passantino who urged Mazars USA not to comply with a subpoena that House Oversight Committee issued for Trump’s financial documents. That is ethics for you in TrumpWorld.Jay Rosen talks about repositioning compliance as a business generator. He discusses companies which see compliance as a business advantage and details how they do so. Jay shouts out to former White House counsel Don McGahn for being a “real lawyer” because he takes notes.Tom Fox, sitting in on this episode, uses the top three FCPA settlements of 2019 (MTS, Cognizant and Fresenius) to illustrate how the FCPA Corporate Enforcement Policy, announced in 2017 is being used in practice. He compares the three different types of resolutions used by the Justice Department and what it might mean for compliance going forward. Tom rants about Charles Van Doren and the quiz show scandals from the late 1950s.The members of the Everything Compliance panelist are:Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.comMike Volkov– One of the top FCPA commentators and practitioners around and the Chief Executive Officer of The Volkov Law Group, LLC. Volkov can be reached at mvolkov@volkovlawgroup.com.Matt Kelly– Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.comJonathan Armstrong–is our UK colleague, who is an experienced lawyer with Cordery in London. Armstrong can be reached at armstrong@corderycompliance.comSarah Hadden– the newest addition to our panel. Sarah is the Publisher at Corporate Compliance Insights. Hadden can be reached at Sarah@corporatecomplianceinsights.com 

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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. In this episode, Matt Kelly (the coolest guy in compliance) and I take a deep dive into continued ethical, reputational and business imbroglio which Boeing finds itself in around the 737 MAX airliner, as the company finds itself on the ethical tarmac. 

Some of the highlights include:Where does compliance come into a sales strategy?Who is responsible for entailing safety - the buyer or seller?What does it mean from the compliance perspective is a safety upgrade is optional?How does regulatory capture affect overseas sales?What is the legal analysis around safety and options for safety upgrade on products?Who should regulate the supply side-the government or the market?For more reading check out Matt’s blog post “More on Boeing and Business Ethics”

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In today’s edition of Daily Compliance News:

·      Opioid distributor faces criminal charges. (New York Times)·      NCAA scandal; little fish=big charges. (New York Times)·       Walmart investigates Flipkart’s compliance lapses and bribe paid to govt officials. (EnTracker)·       How does the rest of the world see FCPA enforcement? (AsiaTimes)

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In today’s edition of Daily Compliance News:

·      Should shareholder authorize payments to corrupt execs to tell what they know about corruption. (Bloomberg)·      Google employees claim retaliation. (New York Times)·       CTFT charges company in $47MM Ponzi scheme. (MarketWatch)·       GSK non-prosecution costs SFO £7.5MM. (The Times)

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In this five-part podcast series, sponsored by Assent Compliance, I have explored supply chain data management. I have visited with several members of the Assent Compliance team to introduce the topic, consider the synergies between several different types of compliance disciplines, the impact on organizations of compliance failures in this area and what are some of the drivers for continued legislation and regulation in this area. In this fifth and final episode, I have back Travis Miller, General Counsel at Assent Compliance Inc. and Director of Assent Compliance USA Ltd. We consider the market drivers for continued legislation. To receive more of the latest news and content on a variety of regulatory and supply chain data management topics click here and sign up for the Assent Compliance newsletter. 

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In this five-part podcast series, sponsored by Assent Compliance, I explore supply chain data management. In this series, I visit with several members of the Assent Compliance team to introduce the topic, consider the synergies between several different types of compliance disciplines, the impact on organizations of compliance failures in this area and what are some of the drivers for continued legislation and regulation in this area. In this first episode, I visit with Jared Connors, Senior Subject Matter Expert, Corporate Social Responsibility at Assent Compliance Inc. We consider what it the impact on organizations which have a supply chain compliance failure.  Join us in our next episode when we conclude this five-part series by considering the market drivers of continued supply chain compliance. To receive more of the latest news and content on a variety of regulatory and supply chain data management topics click here and sign up for the Assent Compliance newsletter. 

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In this five-part podcast series, sponsored by Assent Compliance, I explore supply chain data management. In this series, I visit with several members of the Assent Compliance team to introduce the topic, consider the synergies between several different types of compliance disciplines, the impact on organizations of compliance failures in this area and what are some of the drivers for continued legislation and regulation in this area. In this third episode, I visit with Travis Miller, General Counsel at Assent Compliance Inc. and Director of Assent Compliance USA Ltd. We consider the synergies between the emergence of supply chain risk and the compliance response. Join us tomorrow where we explore organizational impacts of compliance failures with Jared Connors. To receive more of the latest news and content on a variety of regulatory and supply chain data management topics click here and sign up for the Assent Compliance newsletter.

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In this five-part podcast series, sponsored by Assent Compliance, I explore supply chain data management. In this series, I visit with several members of the Assent Compliance team to introduce the topic, consider the synergies between several different types of compliance disciplines, the impact on organizations of compliance failures in this area and what are some of the drivers for continued legislation and regulation in this area. In this second episode, I visit with James Calder, the Vice President of Compliance and Regulatory Programs at Assent Compliance. We introduced the topic of supply chain data management. Join us in our next episode, where we consider the development of supply chain risk management. To receive more of the latest news and content on a variety of regulatory and supply chain data management topics click hereand sign up for the Assent Compliance newsletter.

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In this five-part podcast series, sponsored by Assent Compliance, I explore supply chain data management. In this series, I visit with several members of the Assent Compliance team to introduce the topic, consider the synergies between several different types of compliance disciplines, the impact on organizations of compliance failures in this area and what are some of the drivers for continued legislation and regulation in this area. In this first episode, I visit with Matt Whitteker, the Vice President of Growth at Assent Compliance. He is also one of the co-founders of the organization. We discussed how Assent Compliance came to be founded through seeing the market need the founders saw and moved to fill with Assent.

Join us tomorrow where we introduce the topic of supply chain data management. To receive more of the latest news and content on a variety of regulatory and supply chain data management topics click hereand sign up for the Assent Compliance newsletter.

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In today’s edition of Daily Compliance News:

·      McKesson employee compares asking for compliance resources to ‘asking for a Ferrari’. (New York Times)·      Odebrecht scandal shows no sign of waning. (BBC)·       Is Knicks’ owner James Dolan the worst owner in sports? (New York Times)·       Brian Lamp signs off. (Wall Street Journal)

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In today’s edition of Daily Compliance News:

·      McKesson employee compares asking for compliance resources to ‘asking for a Ferrari’. (New York Times)·      Odebrecht scandal shows no sign of waning. (BBC)·       Is Knicks’ owner James Dolan the worst owner in sports? (New York Times)·       Brian Lamp signs off. (Wall Street Journal)

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In this episode I take things in a bit of a different direction as I am interviewed by Sean Freidlin, Senior Product Marketing Manager, Compliance at Hanzo, on a project commissioned by Hanzo which became a part of the Hanzo Q1 2019 Compliance, Risk, and Regulations Research Roundup. Sean explains what the resulting white paper provides and then queries me on some of the deep dives I took into several areas.  Some of the highlights from the podcast include:What is the Hanzo Q1 2019 Compliance, Risk, and Regulations Research Roundup?The approach in writing the Roundup.What were key macro highlights from the WEF Global risk Report 2019?What were key micro business highlights from the Allianz Business Risk Barometer-Top Business Risks?What are some of the key regulatory enforcement priorities going forward into 2019?Where has compliance been over the past 18 months and where is it headed going forward?Where listeners can go for more information.To obtain a full copy of the  Hanzo Q1 2019 Compliance, Risk, and Regulations Research Roundup, click here.

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In today’s edition of Daily Compliance News:When safety has a training issue, what is the answer? (Wall Street Journal)Where will Fyre bankruptcy lead? (Wall Street Journal)More focus on Peru after former President’s suicide. (Wall Street Journal)Want a job, Japan wants you. (Wall Street Journal)

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Array ( [id] => f680d0b0-6228-11e9-9350-d7cdb8a85629 [createdAt] => 2019-04-18T03:29:49.862-07:00 [updatedAt] => 2019-04-18T15:26:08.826-07:00 [title] => This Week in FCPA-Episode 150– the Easter/Passover edition [pubdate] => 2019-04-18T22:05:00.000-07:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 150 [subtitle] => This Week in FCPA-Episode 150– the Easter/Passover edition [summary] =>

On this weekend, we have the dual celebrations of Easter and Passover. As Tom enjoys the Astros 11-0 run and sweeps of the Yankees and Mariners; Jay mourns his Red Sox going into the doghouse, they also take a look at some of this week’s top compliance and ethics stories which caught their collective eyes this week. 

1.    Corporations behaving badly are looming large in the news this week. What does Boeing’s culture teach us about compliance and ethical behavior? Former VW CEO Martin Winterkorn charged criminally in Germany.2.    Mike Volkov takes a deep dive into the Standard Chartered $1bn fine for failures in AML controls, on his blog Corruption, Crime and Compliance. 3.    How can you get compliance right when there are no regulations on it? Jo Ritcey-Donohue explores.4.    Jay joins the bandwagon on compliance program as business enhancer. 5.    GDPR-what happened to one-stop enforcement?6.    How can the role of a monitor go murky? 7.    When is a facilitation payment a bribe? Dick Cassin uses the Uber FCPA investigation disclosure to explore. 8.    Trump administration moves to eviscerate agency ruling making? Joe Mont reports. (sub req’d) Matt Kelly discusses the pitfalls. 9.    What businesses need to do now to prepare for Cyber Attacks. 10. This week Tom visits with AMI MD Rod Grandon on federal contractors and compliance programs. Check out the following: Part 1-Reponsible Contractors; Part 2- What the Government Expects; Part 3- Small Business Compliance Programs; Part 4-Why are we still talking about this?; and Part 5-Keeping it Fresh.   Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. 

For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com. 

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Array ( [id] => 3216b2cc-615a-11e9-ad90-bbea14618597 [createdAt] => 2019-04-17T15:11:32.773+02:00 [updatedAt] => 2019-04-17T23:46:02.778+02:00 [title] => Life With GDPR: Episode 25- Data Breach=Deadly Consequences [pubdate] => 2019-04-18T07:05:00.000+02:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 25 [subtitle] => Life With GDPR: Episode 25- Data Breach=Deadly Consequences [summary] =>

In this episode, I visit with Jonathan Armstrong to consider the recent regulatory fine leveled against London Borough of Newham £145,000 for a data breach involving the data of more than 200 people. It presents a situation where a data breach was literally a matter of life and death. Some of the issues and highlights are: What was the data and why was it so sensitive? How was the data leaked?How did the authorities determine the data breach?What as the basis of the Information Commissioner’s Office (ICO) fine?What are the lessons to be learned? For more information on Cordery Compliance, go their website here. Also check out the GDPR Navigator, one of the top resources for GDPR Compliance by clicking here.

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In today’s edition of Daily Compliance News:

·      Pension fund demands GE can KPMG. (Accounting Today)·      What will be the role for compliance when it ‘grows up’? (Wall Street Journal)·       Former Peru President commits suicide when facing arrest. (Washington Post)·       New U.S. Policy on Cuba Sanctions Threatens EU Ties. (Wall Street Journal)

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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. In this episode, Matt Kelly (the coolest guy in compliance) and I take a deep dive into recently announced policy by the Trump White House that all regulatory rules and guidance must be submitted to the White House for review before it goes through Congressional review. Some of the highlights include: Some of the highlights include: Ø This is a significant power grab by the White House.Ø What is OIRA and can the White House force all new regs and guidance go through it before Congress considers them? Ø Will regulatory guidance be treated as regulations? What about SEC No-Action Letters? DOJ declinations?. Ø Will regulatory reduction continue under this new policy?Ø This is an example of how political instability negatively impacts businesses.Ø What does this mean for the Democratic nominee to the SEC? For more reading check out Matt’s blog post “Trump Grabs at Rulemaking"

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In today’s edition of Daily Compliance News:

·      Ongoing graft in India? I’m shocked! (The Economic Times)·      When is a facilitation payment a bribe? (FCPA Blog)·       Whistleblowers garner EU wide protection? (BBC)·       FT slams SFO for dropping Rolls-Royce; GSK investigations. (Financial Times)

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In today’s edition of Daily Compliance News:

·      What is the most important leadership trait? (Inc.com)·      When is a facilitation payment a bribe? (FCPA Blog)·       What happened to one-stop GDPR enforcement? (Compliance and Enforcement Blog)·       Former VW CEO indicted in Germany. (New York Times)

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In this five-part podcast series, sponsored by Affiliated Monitors, Inc. (AMI); I am joined by AMI Managing Director Rod Grandon. We have considered the responsibility of federal contractors to maintain their status as “Responsible Contractors” and explore the benefits of having an effective compliance and business ethics program to not only increase business efficiencies and profitability but prepare you in good stead if the regulators come knocking. In this final episode, we consider how you can keep your compliance program fresh through ongoing monitoring. To find out more about Affiliated Monitors, Inc. check out their website www.affiliatedmonitors.com.

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In this five-part podcast series, sponsored by Affiliated Monitors, Inc. (AMI); I am joined by AMI Managing Director Rod Grandon. We consider the responsibility of federal contractors to maintain their status as “Responsible Contractors” and explore the benefits of having an effective compliance and business ethics program to not only increase business efficiencies and profitability but prepare you in good stead if the regulators come knocking. In this fourth episode, I get to ask Rod a question I have wanted to pose to him for some time, which is “why are we still talking about this?” Join us in our next and final episode, where Grandon explains how to keep your program fresh. To find out more about Affiliated Monitors, Inc. check out their website www.affiliatedmonitors.com.

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In this five-part podcast series, sponsored by Affiliated Monitors, Inc. (AMI); I am joined by AMI Managing Director Rod Grandon. We consider the responsibility of federal contractors to maintain their status as “Responsible Contractors” and explore the benefits of having an effective compliance and business ethics program not only to increase business efficiencies and profitability but prepare you in good stead if the regulators come knocking. In this third episode, we discuss small business compliance programs. Join us in our next episode, when I pose the following question to Grandon, “Why are we still talking about this?” To find out more about Affiliated Monitors, Inc. check out their website www.affiliatedmonitors.com.

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In this five-part podcast series, sponsored by Affiliated Monitors, Inc. (AMI); I am joined by AMI Managing Director Rod Grandon. We consider the responsibility of federal contractors to maintain their status as “Responsible Contractors” and explore the benefits of having an effective compliance and business ethics program not only to increase business efficiencies and profitability but prepare you in good stead if the regulators come knocking. In this second episode, we engage in more in-depth discussion what the government expects from contractors. Join us in our next episode, where we consider the concerns of small business contractors and how they can be ameliorated. To find out more about Affiliated Monitors, Inc. check out their website www.affiliatedmonitors.com.

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Array ( [id] => af7d7250-5e17-11e9-9dd3-bb4a8e66a9d3 [createdAt] => 2019-04-13T14:12:23.285-04:00 [updatedAt] => 2019-04-14T13:33:16.576-04:00 [title] => Federal Contractor Responsibility: Part 1-Introduction of Responsible Contractors [pubdate] => 2019-04-15T01:05:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/af7d7250-5e17-11e9-9dd3-bb4a8e66a9d3/image/uploads_2F1555179281820-nx93l4g0fpn-b143cd2a5838524ebacbb804507550ac_2FAMI-Fed%2BContractors.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => 1 [subtitle] => Federal Contractor Responsibility: Part 1-Introduction of Responsible Contractors [summary] =>

In this five-part podcast series, sponsored by Affiliated Monitors, Inc. (AMI); I am joined by AMI Managing Director Rod Grandon. We consider the responsibility of federal contractors to maintain their status as “Responsible Contractors” and explore the benefits of having an effective compliance and business ethics program not only to increase business efficiencies and profitability but prepare you in good stead if the regulators come knocking. In this first episode, we introduce the concept of Responsible Contractors. Join us in our next episode where discuss what the government expects from contractors. To find out more about Affiliated Monitors, Inc. check out their website www.affiliatedmonitors.com.

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Array ( [id] => b1eba950-5ee7-11e9-8675-bf406c6fb3ba [createdAt] => 2019-04-14T21:01:22.680+02:00 [updatedAt] => 2019-04-14T21:01:56.429+02:00 [title] => FCPA Compliance Report-Episode 426, Jon Rusch on Dipping Through Geometries [pubdate] => 2019-04-15T07:00:00.000+02:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/b1eba950-5ee7-11e9-8675-bf406c6fb3ba/image/uploads_2F1555267874479-klddj5b5hgi-03a48a6a1d3d512133dbac22a723f2a9_2FFCPA%2BCompliance%2BReport_widescreen.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 426 [subtitle] => FCPA Compliance Report-Episode 426, Jon Rusch on Dipping Through Geometries [summary] =>

In this episode I finally have Jon Rusch on the podcast. Jon is the author of one of the most recent podcasts in law around law and compliance. His topics include the FCPA, AML, export control, anti-trust and a wide variety of other legal issues that the compliance practitioner faces.  Some of the highlights from the podcast include:  Ø  Why name your blog ‘Dipping Through Geometries’? Ø  What is your interest in this area-money laundering?Ø  Why are the money service businesses in London both so problematic and difficult for authorities to effectively regulate?Ø  One of the key themes seems to be money-laundering can occur in a wide variety of businesses and industries.Ø  Why is the international fight against bribery, corruption and money-laundering a key component in the international fight against terrorism?Ø  What is they link between money-laundering and terrorism?Ø  What is the role of the compliance professional in this fight?  For more information on the blog posts referenced in this podcast , check out “The first is “United Kingdom Criminal Network That Obtained More Than £8 Billion from Frauds Sent £80 Million to al-Qaeda” and “Metropolitan Police Commissioner: London Money Service Businesses Used to Export Drug Money”. Finally, you should sign up for Jon Rusch’s blog Dipping Through Geometries. 

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In today’s edition of Daily Compliance News:

·      Les Moonves forfeited $34.5MM in comp. (Wall Street Journal)·      Grant Thornton in how water in UK. (Wall Street Journal)·       Conflict of interest in Hollywood (I’m really shocked). (New York Times)·       What is risk? When growth fuels a change. (Washington Post)

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In today’s edition of Daily Compliance News:

·      Uber is under FCPA investigation. (FCPA Blog)·      Did you break the rules? Just rewrite them in your favor. (Wall Street Journal)·       Apple requires supply chain compliance re: climate warming emissions. (Washington Post)·       Halloween comes early this year for the UK. (New York Times)

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After a one-week hiatus, the lads are back. While debating white privilege and the Varsity Blues scandal, they also take a look at some of this week’s top compliance and ethics stories which caught their collective eyes this week. 

1.    Guilty pleas begin in the Varsity Blues scandal. For those who did not plead guilty, additional charges filed. Jay interviews Justin Paperny about the Varsity Blues sting. For one of the best and fullest explanations, see Caitlan Flanagan’s article in The Atlantic.2.    Does your company lack integrity? Mike Volkov gives 5 signs which show it does. 3.    Standard Chartered joins the $1 bn fine club.4.    What is the intersection of DD and AI? 5.    OFAC enforcement action demonstrates need for pre-acquisition due diligence? 6.    What is ethical AI?7.    What are the shifting reasons for FCPA enforcement?. 8.    What are the risks to investors in Uber? 9.    This week Tom explores the intersection of Shakespeare and Compliance through the lens of King Lear. Check out the following: Part 1-Innovation;Part 2- Changing Your Focus; Part 3- Engaging Your Audience; Part 4-a Different Interpretation; and Part 5-The Fool. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Panoplyand YouTube. The Compliance Podcast Network is now also on Spotifyand Corporate Compliance Insights. Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is       Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. 

For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com. 

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Array ( [id] => 5bd9ba20-5bbd-11e9-a88b-537a643c4186 [createdAt] => 2019-04-10T02:58:39.029+02:00 [updatedAt] => 2019-04-10T20:20:46.266+02:00 [title] => Compliance into the Weeds: Episode 118-Hotline Metrics [pubdate] => 2019-04-11T07:00:00.000+02:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 118 [subtitle] => Compliance into the Weeds: Episode 118-Hotline Metrics [summary] =>

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. In this episode, Matt Kelly (the coolest guy in compliance) and I take a deep dive into recently released NAVEX Global 2019 Ethics & Compliance Hotline Benchmark Report. We consider the details from the report and ask the following question “are you using all the right intake channels to capture a true sense of misconduct and corporate culture at your organization?” Some of the highlights include: Some of the highlights include: Ø What are the intake channels available to your organization?Ø If you are only tracking complaints through a formal system, you may well be missing a wider variety and rich source of information. Ø Moving your intake past simply what the law requires will give you a much better accounting of your organization’s culture.Ø How can you improve your intake?Ø Has closure time for reported increase or decrease?Ø What has been the continued impact of #MeToo? For more reading check out Matt’s blog post “Hotline Metrics-are you missing any?”To read the full NAVEX Global 2019 Ethics & Compliance Hotline Benchmark Report, click here.

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In today’s edition of Daily Compliance News:

Standard Chartered joins the $1 bn fine club. (New York Times)Are you missing any hotline metrics? (Radical Compliance)AML charges in Varsity Blues, can tax fraud be far behind? (New York Times)Institutional investors dump Vale stock. (Financial Times)

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APRIL 9, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

·      First round of guilty pleas in Varsity Blues. (Huffington Post)·      How can you tell if a company is overpaying its CEO? (MarketWatch)·       Dirty money and Scandinavian banks. (New York Times)·       Nissan shareholders erupt at annual meeting. (Wall Street Journal)

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In this podcast series, I have used the current Broadway performance by Glenda Jackson as King Lear to introduce several compliance topics. Today, I want to discuss the role of The Fool. Initially I should note that the actor who played it, Ruth Wilson, also played Cordelia; which in and off itself is rather amazing. The Fool did well to speak truth to power during the play and Wilson was excellent in both roles.   Wilson’s performance as The Fool added a shading of interpretation that certainly works. It also informs today’s review topic which is who was the fool and who was the criminal in one of the most nortorious acquistions in recent memory, the Hewlett-Packard (HP) acquisition of the UK company Autonomy.  The matter is now on trial in London, it being the largest UK civil trial in history with HP claiming some $5 billion in damages. The former Autonomy CEO Mike Lynch is in the dock as he will be in the US when his criminal case goes to trial sometime after the conclusion of this civil action.  The trial began last month and the fireworks have already started, with HP claiming Lynch and his former CFO engaged in massive fraud; the trial judge asking HP what accounting standards they used to evaluate HP and Lynch basically saying HP dropped the ball completely in both the acquisition and after closing for a variety of reason. Based upon all of this tomfoolery I thought a review of HP actions was warranted today.  Perhaps the simple truth is that everyone involved in this matter was a Fool. 

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In this episode, I want to discuss how Jackson, starring in the role of King Lear, added a new level of complexity, nuance and interpretation to the entire play.  Jackson is an octogenarian, the oldest person I have ever seen play Lear. Having seen my two parents age, I have some understanding that a person does not gain in stature, power or strength after they cross the 80-birthday mark. In other productions I have seen Lear roar and rail at Cordelia however, Jackson played it understated with nary a raised voice.  Even after the intermission, one of the most powerful scenes is when Lear carries of the lifeless body of Cordelia. Lear is in shock, bereaving and clearly quite mad. Yet to pull this off this scene requires an actress playing Cordelia to be of a size that the actor playing Lear can physically carry. Jackson is far too frail to do so. In this penultimate scene she sat on the stage with Cordelia’s head cradled in her lap, gently stroking her dead daughter’s hair. It was one of the most tender, loving and affectionate presentations I have ever seen in Lear.  The same week as the Mobile TeleSystems PJSC (MTS) Foreign Corrupt Practices Act (FCPA) enforcement action was announced there were two significant speeches by Department of Justice officials. The first was by Deputy Attorney General Rod Rosenstein. The second was by Assistant Attorney General Brian Benczkowski.  I want to focus on how both speeches explain what many found to be the stunning result Cognizant Technology Solutions Corporation (CTSH) received when it obtained a declination for its FCPA violations, both from the strategic and tactical levels.  Taken together, these two speeches made clear the reasons why the DOJ handed a declination to CTSH. The company engaged in the type of conduct, after it discovered its FCPA violation, that the DOJ wanted to reward and encourage going forward. Rosenstein made this crystal clear in his remarks, when he stated, “We aim to incentivize companies to report crimes, disgorge illegal proceeds, take remedial actions, and identify accountable officials so we can prosecute them – and do it all promptly. That will result in less corporate crime in the future.” This is not going soft on corporate crime; this is bringing corporate America into a role in the global fight against bribery and corruption.  Yet the Benczkowski speech had equal import for the compliance professional. The DOJ rewarded CTSH for not only its quick decision to self-disclose and then doing so; they also rewarded the company for having a robust pre-existing compliance program even though C-Suite executives led the bribery effort. This recognition by the DOJ makes even more important the corporate compliance function and a corporate compliance program to protect an organization if nefarious actors arise.

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In this episode, I want to discuss the opening scene where Lear bids his daughters express the breadth and scope of their love for him.  Lear has called a conference to divide his kingdom between his three daughters, Goneril, Regan and Cordelia, his youngest who is clearly is favorite. Goneril professes her love is more than words alone can convey, saying “A love that makes . . . speech unable / Beyond all manner of so much I love you”. Regan professes, “Myself an enemy to all other joys, Which the most precious square of sense possesses, And find I am alone felicitate in your dear Highness’ love.” However, Cordelia refuses to play the flattering fool. Her father twice gives her the opportunity to redress this decision but she holds firm saying “Nothing, my lord”. This leads to the break in the family, the deaths of the sisters and the fullest scope of tragedy.  Why do you need to engage your audience? I thought about this in the context of the Foreign Corrupt Practices Act, compliance and regime change. This is not Saddam Hussain regime change where the US government invades a country to throw out the old boss. This is a democratically elected-peaceful transfer of power. However, it now appears that regime change now means corruption investigations which impact not only the FCPA but also US companies. Every compliance officer needs to aware of this new reality. Take three recent regime changes, together with what they have meant; and perhaps one to come.  1.     South Africa2.     Malaysia3.     Brazil4.     Venezuela The bottom line is that every Chief Compliance Officer (CCO) must now watch local politics much more closely. If you are doing business in a high-risk country and there are new leaders brought in through democratically elected regime change, your company had better be ready for a robust corruption investigation. Certainly if Malaysia, South Africa and Brazil are any indication, prosecutors from nations with new regimes may well share their findings with the US Department of Justice (DOJ). This means that regime change could lead directly to a FCPA investigation, where the disclosure was by a foreign government and not the company self-disclosing. If there is no self-disclosure, a company is not eligible for the declination under the 2017 FCPA Corporate Enforcement Policy. 

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In this episode, I want to discuss how this production changed the focus of the play, away from the madness of the king to the actions of the three daughters.  Perhaps it was my perception of the play or perhaps it was the director’s intention but the focus in the first half of the play was clearly on the daughters and their families. Both Goneril and Regan played much more prominent roles throughout the first scene and their joint liaisons with Edmund, later the Earl of Gloucester, were key components of this production. Moreover, their husbands, the Duke of Cornwall and the Duke of Albany, also played prominent roles. The Duke of Cornwall, for instance his role in this production was more than the traditional highlight for him, which is the blinding of the original Earl of Gloucester. (Even in this production it still elicited gasps from the audience.) Even after the intermission, where some of the most powerful scenes in all of Shakespeare playout, including the blinded Earl of Gloucester and the mad Lear wandering the moor, this production held a distinct focus on Lear’s daughters and their families, adding in the complexity of Edmund, the new Earl of Gloucester, having an affair with Goneril while secretly pledged to wed Regan.  In the most recent Harvard Business Review (HBR), Scott Berinato writes, in an article entitled “Data Science and the Art of Persuasion”, that most companies are not getting the value from data science initiatives and prescribes ways to remedy this phenomenon. Last year, at Compliance Week 2018, Hui Chen said on a panel that she expected the compliance team of the not-so-distant future would have a data scientist. As with most of her pronouncements, she was way ahead of the crowd.  You must start with the premise that most CCOs and compliance professionals are legally trained, usually without any data analytics classes in law schools still operating under the Socratic Method. Even if a stat class is thrown in somewhere along the way in undergrad, grad school or even through some business school outreach to law students, that does not begin to prepare someone to understand the insights available through advanced data analytics. The key is to build a better data science operation. There are four suggestions, with the over-arching theme of defining the talents you need to understand and communicate the data. 1.     The unpacking of data and creation of insights is a skill. 2.     Data wrangling.3.     Expertise.4.     How to communicate the information. 

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I recently saw the performance ofKing Learwith Glenda Jackson as the mad king. It was a magnificent production and if you have the chance to see, I would certainly urge you to do so. The production had many interesting features and interpretations which seemed to be great entrees into several compliance topics. The play was directed by Sam Gold and it was scored by Phillip Glass but the star power was derived from Jackson as King Lear. It was a fabulous take on the story and one that will resonate directly to our turbulent times. Therefore, inspired by octogenarian Jackson and her performance, I am going to use King Lear as a deep dive into several compliance topics this week. Today, I want to use the nature of the production, to introduce the day’s topic of innovation in compliance.  Gold’s Lear production was both unique and innovative. It was quite a large stage but the lightening was used to great effect. When the director wanted to shift the action, to another group of actors or topic, the lights were simply shut off to the actors not involved. They did not have to exit the stage and then return. This allowed them to remain on stage and the action could move back and forth without disruption.  The second innovation was in the use of music. While I am generally not a fan of music in Shakespeare, unless used in the original show notes, such as bugles blaring; I am not a fan of music in the performances. However there was a classical quartet which played throughout the performance that I felt truly enhanced the entire production. Finally, I normally revolt at any singing in a Shakespearian production. There were a couple of singing scenes which almost worked for me but at least they did not detract from the overall performance. I thought about this in the context of how to move compliance innovation into the corporate pantheon of greater business process efficiency when I read a recent MIT Sloan Management Review article, entitled “Grow Faster By Changing Your Innovation Narrative”, by George S. Day and Gregory P. Shea. In the article they discussed their findings that organizations that sustain growth “faster than industry rivals articulate a coherent, compelling innovation narrative and rely on four powerful levers to make it a reality.” They posited four key levers for doing so which I believe would work well for a compliance function to sustain innovative growth within an organization and with its customer base, i.e. employees. I have adapted their piece for such an exercise.  The first lever is to invest in compliance talent.  The second lever is encouraging prudent risk taking.  The third lever is to adopt a customer centric process.  The fourth lever is aligning metrics and incentives with innovation activity. The bottom line is that senior management is well-versed in the need for innovative and effective compliance. By using these four levers, a compliance practitioner can help senior managers to focus the organizations compliance efforts. The authors conclude by stating, “A growth-affirming  innovation narrative and the four levers that make it manifest within a company can help leaders focus and prioritize their innovation efforts. The process of identifying and articulating the narrative is essential to understanding the culture of innovation within a company and envisioning what it can achieve. The levers bring that narrative to life. Without them, organic growth leadership in any industry is a hit-or-miss endeavor.”

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In today’s edition of Daily Compliance News:

·      Can a leopard (in this case Equifax) change its spots. (New York Times)·      Investigations for Boeing mount. (Washington Post)·       More corruption alleged in cricket, yet again. (BBC)·       Nominee for No. 2 at DOJ faces tough Senate hearing. (Wall Street Journal)

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Array ( [id] => f070b072-5612-11e9-bde4-f38bc1bb7755 [createdAt] => 2019-04-03T06:18:15.463-07:00 [updatedAt] => 2019-04-07T10:56:14.961-07:00 [title] => FCPA Compliance Report-Episode 425, the Fresenius FCPA Enforcement Action [pubdate] => 2019-04-07T22:00:00.000-07:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/f070b072-5612-11e9-bde4-f38bc1bb7755/image/uploads_2F1554296483303-et6324pndyn-bf0c276bb4cd257832628a42d3148a7c_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 425 [subtitle] => FCPA Compliance Report-Episode 425, the Fresenius FCPA Enforcement Action [summary] =>

In this episode I have back fan fav Mike Volkov. We break down the recently released Fresenius FCPA enforcement action. Some of the highlights from the podcast include: Ø  A detailed discuss of the underlying facts.Ø  What were the bribery schemes? Some old and some new but every compliance professional should study them.Ø  How and why did Fresenius let the conduct go on for so long.Ø  How was the company able to garner a NPA?Ø  How did the company obtain its 40% discount for its fine and penalties?Ø  Why was a monitor required?Ø  What are the lessons learned from this enforcement action?Ø  How does this case illustrate current Justice Department enforcement under the 2017 FCPA Corporate Enforcement Policy, as amended?  To take a deeper dive into the Fresenius FCPA enforcement action, check out Mike Volkov’s three-part series on his blog site,Corruption, Crime and Compliance. You can also check out my three-part series on the FCPA Compliance Report.

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Array ( [id] => 71f9447e-5861-11e9-a77e-471c9a0cfb4c [createdAt] => 2019-04-06T13:43:37.740+02:00 [updatedAt] => 2019-04-06T13:45:16.169+02:00 [title] => Daily Compliance News: April 6, 2019-the return on bribe (ROB) edition [pubdate] => 2019-04-06T13:39:00.000+02:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => Daily Compliance News: April 6, 2019-the return on bribe (ROB) edition [summary] =>

APRIL 6, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

·      Pharma exec who developed return on bribe metric goes to jury. (NPR)·      Wilkie-Farr co-chair pleads guilty in admissions scandal. (Bloomberg)·      How the Nordic banks came to grief in the Baltics. (FT-Big Read)·      Schlumberger in trouble over sanctions violations again.  (Financial Times)

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APRIL 5, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

·      Judge gives SEC and Musk 14 days to settle their differences. (New York Times)·      3 drug companies settle FCA claims for $122MM. (Wall Street Journal)·      7 key considerations for M&A site visits. (Merrill blog)·      Top 10 most interesting expense reimbursement claims. (Corporate Compliance Insights)

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Welcome to the only roundtable podcast in compliance. Today, in Episode 44 Tom Fox sits in for Mike Volkov, who is on assignment.   Jonathan Armstrong discusses a recent presentation he saw by the OECD on some of the key and current numbers on the global fight against bribery and corruption. Jonathan shouts out to Nicola Howard QC for her work on DPAs in the UK and the British Airways for its pizza delivery service from London to Lagos.Matt Kelly details the recent SEC whistleblower award to two individuals of $50MM. There were multiple claimants and the award detailed what the SEC values in terms of information. He also discusses the award in the context of the Trump administration’s attempt to gut the SEC whistleblower program. Matt rants on the unqualified Trump nominee for the Fed, Stephen Moore.Jay Rosen talks about how the #MeToocontinues to resonate in Hollywood as yet another studio executive is forced to resign. This time the scandal is not about power over another but about the conflicts which arise when some in a relationship uses his power to promote his paramour over others. It is also about how the studio internal investigations continue to clear the studio execs of any wrongdoing. Jay shouts out to Matt Kelly for attending the SCCE Regional event in Boston.Tom Fox, sitting in for Mike Volkov discusses a compliance-based solution to help manage the opioid crisis. He shouts out to (now) former Wells Fargo CEO Tim Sloan for admitting the abysmal job he did in the wake of the fraudulent account scandal by resigning and rants on Wells Fargo which cannot seem to move beyond the scandal.The members of the Everything Compliance panelist are:Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.comMike Volkov– One of the top FCPA commentators and practitioners around and the Chief Executive Officer of The Volkov Law Group, LLC. Volkov can be reached at mvolkov@volkovlawgroup.com.Matt Kelly– Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.comJonathan Armstrong– Rounding out the panel is our UK colleague, who is an experienced lawyer with Cordery in London. Armstrong can be reached at armstrong@corderycompliance.comThe host and producer (and sometime panelist) of Everything Compliance is Tom Fox the Compliance Evangelist. Everything Compliance is a part of the Compliance Podcast Network.

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APRIL 4, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

·      Wynn Casinos said to have hidden claims against Steve Wynn. (New York Times)·      Is your airline watching you? (New York Times)·       Hertz goes after former execs for restatement costs. (Compliance Week)·       Texas senate passes Bigot Law. (Houston Chronicle)

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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. In this episode, Matt Kelly (the coolest guy in compliance) and I take a deep dive into resignation of now former Wells Fargo CEO Tim Sloan. We use his departure as a starting point to discuss some of the issues which continue to bedevil the organization some three years after the original fraudulent accounts scandal broke. Some of the highlights include: Ø Another tough Congressional hearing, another Wells Fargo CEO resigns. Ø Why can’t Wells Fargo turn around its culture?Ø Should an outsider (IE., non-long term Wells Fargo employee be brought in to right the ship?Ø What is the difference in high-performing and high-pressure organizations?Ø Why does Wells Fargo continue to resist whistleblower retaliation claims?Ø Does Wells Fargo treat its customers as it treats its employees?Ø What draconian sanctions are the OCC and Fed considering?Ø What can Wells Fargo do to actually change its culture? If you are in Houston on Friday, please plan to attend the South Texas College of Law 2019 Symposium on Compliance in international Corporate Legal Practices – Legal Development and the Talent Needs of the Future. Information and registration details available here.

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In today’s edition of Daily Compliance News:

·      Trial of ex-Malaysian PM Najib Razak to begin. (The Guardian)·      Shocked, just shocked to find out drug company pushed opioids. (NPR)·       Former Colombia official convicted of bribing government officials on behalf of Odebrecht. (Colombia Reports)·       UK’s Financial Reporting Council will examine KPMG. (Wall Street Journal) 

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In today’s edition of Daily Compliance News:

·      Is it illegal to do business with corrupt governments? (New York Times)·      Does PG&E really want a judge running its business? (Hint-no). (Wall Street Journal)·       Mark Zuckerberg asks for more regulation. (Wall Street Journal)·       Anti-Corruption lawyer elected PM of Slovakia? (Financial Times)

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 In this episode I visit with Amy Edmondson about her upcoming keynote speech at IMPACT2019, entitled “The Fearless Organization: Creating Psychological Safety for Learning, Innovation, and Growth”. Some of the highlights from the podcast include: 1.    Beginning in the 1990s Edmondson began research how organizations are made better by creating safe spaces for employees to speak up.2.    Why listening is the key trait for every leader. 3.    Your organization can have stretch goals but you must have open ears.4.    How failure to listen to employees who speak up can cause business losses.5.    Information on why you should attend ECI’s IMPACT2019.

 Resources: Amy Edmondson LinkedInprofileRegistration and Information on IMPACT2019 here.  

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On this episode of the Modern Medium Podcast, we are exploring barriers: might artists inadvertently create these barriers to their art? And how does this affect its experience?

Barriers

Barriers can be anything: a blind person who can’t see the art, or someone with a learning disability who might not understand the art in the way that it was intended. But they can still experience art in other ways that you might not expect, and so in this way, art can be accessible to anybody. It’s just a matter of creating that space.

On communicating

Art is not always going to be clearly communicated across all platforms. It might offend. It might cause stress or tension. And that’s part of the learning process as both artist and viewer: each of our experiences are different, and so the ways in which we access art will naturally be different too. As artists, we can’t control how people will react, so a big thing is keeping your art true to yourself.

Being true to yourself

Trying to communicate what’s inside of you is in itself a barrier: it’s going to reach some people and not others. There might be backlash. As an artist, it’s a balancing act of staying true to yourself and the art that you practice, but keeping in mind that not everybody will be able to access it. By virtue of understanding that, artists can grow and change their art — but it’s important not to censor it.

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Array ( [id] => 64260cb6-53f6-11e9-8287-1f43b6ce9403 [createdAt] => 2019-03-31T13:48:51.863-07:00 [updatedAt] => 2019-03-31T13:49:10.765-07:00 [title] => FCPA Compliance Report-Episode 424, David Childers on the New ECI Self-Assessment Tool [pubdate] => 2019-03-31T22:00:00.000-07:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/64260cb6-53f6-11e9-8287-1f43b6ce9403/image/uploads_2F1554065227599-hu4r18nuqeg-edeba528851bd337a9a8f2fd4f58bf42_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 424 [subtitle] => Episode 424, David Childers on the New ECI Self-Assessment Tool [summary] =>

In this episode I visit with David Childers, the Senior Vice President at Ethics & Compliance Initiative (ECI). We discuss ECI’s High-Quality Ethics & Compliance Program (HQP) Self-Assessment Tool. Some of the highlights from the podcast include: What are the 5 Principals of a HQP? They include: Strategy, Risk Management, Culture, Speaking Up and Accountability.  

What are the 5 operational areas of an E&C program? They include:E&C is central to business strategyE&C risks are identified, owned, managed and mitigated Leaders at all levels across the organization build and sustain a culture of integrityThe organization encourages, protects and values the reporting of concerns and suspected wrongdoing The organization takes action and holds itself accountable when wrongdoing occursWhat is the design of the Self-Assessment tool? While the methodology is fairly complex, for the participant it is only 107 multiple choice questions and it takes less than 30 minutes to complete.What is it designed to measure? The HQP Assessment measures program maturity based on a combination of questions regarding 27 operating components and more than 100 program practices.

What are the four categories of reporting information for each principal? They include:(1) What to measure/review; (2) Questions to consider ; (3) Potential sources of information and (4) Leading practices illustrative of HQPs. What are the five-point scale for program maturity? Program maturity is based on five levels, which are represented on a 0-100 scale.  ·       UNDERDEVELOPED·       DEFINING·       ADAPTING·       MANAGING·       OPTIMIZINGThe HQP Assessment tool is a measure of where an organization believes their E&C program operates based on the five principles.   The assessment can be used in several ways.  We have organizations that are looking for program improvement. The assessment can be a baseline for measured improvement.   It can also be a qualification.  As we said this isn’t about a score.  In some industries, being at the managing level of maturity may be sufficient for their risk.  Most of all it is a great way to create dialog and discussion with your leadership using a definitive measure of your program. How will ECI use this information going forward? We are already seeing important trend and insights from the data. We will introduce many of these findings are our Annual Conference in Dallas, and we are developing working groups within our membership to explore some the findings to refine best practices and guidelines for program improvement. For more information on the ECI Self-Assessment Tool, go to www.ethics.org Registration and Information on IMPACT2019 here.  

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In today’s edition of Daily Compliance News:

·      GOP congressmen threaten to kill NAFTA 2. (Washington Post)·      CBS Credit Union shut down as one employee embezzled $40MM.  (Deadline)·       Scott Moritz on why every college should now perform a root cause analysis. (Proviti)·       What does Occam’s Razor have to do with blockchain? (McKinsey White Paper)

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In today’s edition of Daily Compliance News:

Wirecare in deep trouble. (Financial Times)Nissan was in big trouble and still may be. (New York Times)New York state sues Sackler family directly. (Wall Street Journal)PG&E needs compliance on its Board. (Wall Street Journal)

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As Opening Day near and the Astros are predicted to unseat Jay’s Red Sox to win the 2019 World Series, both lads are eternally hopeful for their hometown heroes. While debating this issue, they also take a look at some of this week’s top compliance and ethics stories which caught their collective eyes this week. 

1.    Former Hong Kong official sentenced for FCPA violations. 2.    SEC awards two whistleblowers $50MM. Kristin Broughton in the. Matt Kelly takes a deep dive. Doug Cornelius gets snarky. Jonathan Marks weighs in. 3.    Jonathan Ruschand William Weaverdebate whether corruption can be measured. Both on the FCPA Blog. 4.    Was it fraud or was it incompetency? The HP v. Autonomy civil trial begins in London. 5.    What is the difference in whistleblowing and extortion? Joe Mont explains.6.    What are your supply chain risks? Russ Berland explores in Part 1 of a two-part blog post. 7.    Looking at enforcement of financial market crimes in Canada and UK. Anita Anand reports. 8.    What steps can you take to reduce whistleblower retaliation? Matt Kelly opines. 9.    OECD slams Canadian government for interfering in SNC-Lavalin corruption investigation. Jonathan Rausch reports.10. Join Tom and AMI’s Jesse Caplan for a 5-part exploration of emerging issues in healthcare compliance and monitoring. 11. In Houston on April 11? Join the Greater Houston Business and Ethics Roundtable for a presentation for one year look back on GDPR. Registration and information are here. 12. Check out the latest edition of Great Women in Compliance where Mary Shirley visits with Marianne Ibrahim.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. 

For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com. 

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MARCH 29, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

·      JPMorgan under fire for bribery in Nigeria.  (New York Times)https://www.nytimes.com/2019/03/28/business/jpmorgan-nigeria.html·      Black and Decker settle Iranian sanctions case.  (Wall Street Journal)·      Having failed to change its culture, Wells Fargo CEO quits, effective immediately. (NPR)·       Swedbank President fired over money-laundering scandal. (Wall Street Journal)

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MARCH 28, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

·      What is your cybersecurity rating?  (Wall Street Journal)·      Trump tweets on North Korea sanctions as coverup for incompetence?  (Washington Post)·      SFO sued for investigation. (FinancialTimes)·       Russian money laundering scandal spreads to Sweden. (Wall Street Journal)

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In this episode, I visit with Jonathan Armstrong consider the increasing business risk around phishing. There have recently been some multi-million-dollar losses around phishing so you need to be prepared. Some of the issues and highlights are: What is phishing? The largest number of data breach have come through phishing. Why has it become such a business risk?What are the requirements a company take against phishing under GDPR?What are the three key concepts in data protection?Modern phishing attacks are very sophisticated.What are some of the most intricate frauds seen in this area? For more information on Cordery Compliance, go their website here. Also check out the GDPR Navigator, one of the top resources for GDPR Compliance by clicking here.

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MARCH 27, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

·      Former Autonomy CEO goes to trial in UK.  (The Register)·      Want credit in FCPA sentencing? Engage in random acts of kindness while in jail. (New York Times)·      SEC pays whistleblowers $50MM. (FCPA Blog)·       Stormy Daniels lawyer charged with attempted extortion. (Wall Street Journal)

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[audioFile] => https://megaphone-prod.s3.amazonaws.com/podcasts/7a954b1a-d30e-11e8-87cc-2f03e1d4419c/episodes/471065cc-5013-11e9-b35c-ab09685e7a2b/stripped_0e370d7b1297c030e80d2a67fd42d0f5.mp3 [downloadUrl] => http://traffic.megaphone.fm/ACS1150248794.mp3 [size] => 47137435 [duration] => 1178.44 [uid] => ACS1150248794 [originalUrl] => [bitrate] => 320 [samplerate] => 44100 [channelMode] => stereo [vbr] => [audioFileProcessing] => [podcastId] => 94b64056-c5b9-11e8-a148-137a19d11967 [preCount] => 1 [postCount] => 1 [insertionPoints] => Array ( ) [id3File] => https://megaphone-prod.s3.amazonaws.com/podcasts/7a954b1a-d30e-11e8-87cc-2f03e1d4419c/episodes/471065cc-5013-11e9-b35c-ab09685e7a2b/id3/ddbffdc2760bc9485839871b5a97bad4.mp3 [id3FileProcessing] => [id3FileSize] => 50297 [parentId] => 471065cc-5013-11e9-b35c-ab09685e7a2b [guid] => [pubdateTimezone] => Central Time (US & Canada) [originalFilename] => Episode 116.Brexit - 3_26_19, 4.55 PM.mp3 [preOffset] => 0.0 [postOffset] => 0.0 [spotifyIdentifier] => [expectedAdhash] => [audioFileUpdatedAt] => [draft] => [externalId] => [customFields] => )

Array ( [id] => 32956406-4f61-11e9-9e3d-1787afad6843 [createdAt] => 2019-03-25T17:47:51.445-07:00 [updatedAt] => 2019-03-25T17:50:49.375-07:00 [title] => Daily Compliance News: March 26, 2019-the UK AG edition [pubdate] => 2019-03-25T22:15:00.000-07:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => Daily Compliance News: March 26, 2019-the UK AG edition [summary] =>

MARCH 26, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

·      Why is UK Attorney General sitting on Airbus corruption case? (The Guardian) ·      Ex-HK official sentenced to jail for FCPA, AML violations. (FCPA Blog)·      Duke pays over $110MM for filing false research grant applications? (New York Times)·       Charitable institutions to Sacklers: We don’t want your money. (New York Times)

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The board of directors, in concert with the CEO and others, set the tone and conduct for corporate behavior throughout the organization, and is the most important element for promoting honesty in a company. In this episode, we’re talking about tone and conduct from the top.

Trends

Corporate greed at the executive level has destroyed hundreds of companies. Many CEOs over the years have been sued over white collar crimes, and this sends a clear — though perhaps unintentional — message to their employees that committing fraud is acceptable, so long as it makes the company seem acceptable.

That’s simply not the case, and is a prime example of setting the wrong tone and conduct from the top. At the same time, there are no regulatory rules or accounting standards that define exactly what the tone and conduct at the top should be.

So we need to be mindful. When our companies are doing really well, we might slip into “Perfect Place Syndrome," and all the hard work and effort you put into building a company culture that is mindful of ethical breakdowns could be wiped out in an instant.

Gaps

The control environment: This is key to setting the right tone and conduct of the organization, because it influences the control consciousness of its people. For example, do you have a Code of Business Conduct and Ethics?

A commitment to competence: Don’t take shortcuts, and don’t hire people that don’t fit within your organization.

Board of Directors and audit committees: Are they engaged? Do they ask questions and take appropriate action?

Management philosophy and operating style: This needs to place a high value on risk assessment and internal control and, more importantly, encourage a “speak up” environment. If people feel like what they’re going to say will fall on deaf ears, they may not speak up at all.

Well-defined organizational structure: Do people know what their roles and responsibilities are? How about their reporting channels and the communication protocols?

Appropriate assignments and authority and responsibility: Are there well-defined duties that are appropriately segregated to prevent and detect errors or fraud?

Human resources: Your recruiting and retention policies and practices should ensure that human capital is valued.

Chief Executive: The buck stops with them. They have the ultimate responsibility for the internal control system, and a positive control environment is a big part of maintaining effective internal controls.

Challenges

It is crucial for company success for executives and management to set an example of ethical behavior on the job, otherwise, they are creating an entire organizational culture of fraud.

ABC Theory of Fraud: You have one bad apple, you create a bad bunch, and the next thing you know, you have a bad crop. So what should have been an isolated incident may manifest itself in other parts of your organization. When employees are under pressure to meet unrealistic goals, they’re often faced with a choice of whether or not to do whatever it takes, no matter how improper, to achieve those goals.

Solutions

Personnel changes are not always warranted. Education and formal training in some cases might accelerate the general adoption of a more ethical corporate culture in an organization. It is really important that senior management position themselves to communicate to employees what is expected of them, lead by example, and provide a safe mechanism for reporting violations and rewarding integrity. Employees need to see management demonstrating a commitment to their ethics principles. The message must be communicated consistently and reinforced with actions.

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On this episode of the Modern Medium Podcast, we’re exploring our senses: while it’s common for art to have visual and aural components, we don’t normally think about art in terms of smell, taste, or touch. But art is supposed to imitate life, and within life, we experience these all at once. How then can we make art a sensory experience? 

It’s easy to be visual, as a lot of art already is. Visiting art galleries or museums is typically a visual experience, seeing the paintings or sculptures and experiencing them from a distance. 

But one thing that’s interesting about those spaces is that they’re usually silent. Why is there no sound? Why are we hearing people just shuffling around? Paris shares about a project she did, where she recorded audio snippets of her morning rituals, experiencing that routine through sound. We don’t normally think of audio outside of music, but you can easily tell a story through the things you hear on the street. 

When you touch something, you’re going to understand it in a different way. If it feels different from what you’re picturing, that can change the piece’s tone, energy, or the way you view it. Art that incorporates touch has the power to change the story.

It’s important to consider all five senses when you’re creating anything. And it’s important to consider not only what senses you're activating, but how the that might be different for different people, because we all come with our different preconceived notions and experiences. 

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MARCH 25, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

·      Jeff Skilling wants you to invest your money with him. What could go wrong? (Wall Street Journal) ·      Most bitcoin trading is faked. (Wall Street Journal)·      What do sanctions mean anyway? (Wall Street Journal)·       Two charitable donations rejected, Sackler family trying to settle OxyContin lawsuits. (Wall Street Journal)

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Array ( [id] => fdd142b6-4a4d-11e9-87d5-175a5e197671 [createdAt] => 2019-03-19T06:50:44.263-07:00 [updatedAt] => 2019-03-19T06:59:53.241-07:00 [title] => Emerging Issues in Healthcare Compliance and Monitoring-Episode 1 –Focus on Opioid Prescribing – Regulatory and Liability Risks [pubdate] => 2019-03-24T22:00:00.000-07:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/fdd142b6-4a4d-11e9-87d5-175a5e197671/image/uploads_2F1553003207834-59s50l9f9dt-486eb4d9e1b4bf270ac4df780a81d639_2FAMI-Healthcare%2B2.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => 1 [subtitle] => Episode 1 –Focus on Opioid Prescribing – Regulatory and Liability Risks [summary] =>

In this special five part podcast series, sponsor by Affiliated Monitors, I visit with Jesse Caplan, Managing Director at AMI on emerging issues in healthcare compliance and monitoring. Healthcare provider organizations and practices face many different types of potential regulatory and liability risks – in this first episode we focus on the risks posed by opioid prescribing. We consider the some of the following issues:

 >What are the risks to providers and health care organizations from opioid prescribing? >What has been the response of the Department of Justice? >What are legislators and regulators doing to address the opioid crisis? >Can you tell us a little more about the legal and regulatory framework impacting opioid prescribing?

>What should be the primary compliance concerns for healthcare organizations in connection with the opioid crisis?

Join us for Episode 2, where we discuss how healthcare organizations can identify and mitigate the risks from opioid prescribing.

For more information on our sponsor Affiliated Monitors, check out their website here. 

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Array ( [id] => a66b0bd2-4a5d-11e9-92a7-63a7cec5559b [createdAt] => 2019-03-19T11:42:49.581-04:00 [updatedAt] => 2019-03-19T11:43:51.871-04:00 [title] => Emerging Issues in Healthcare Compliance and Monitoring-Episode 4 - Independent Integrity Monitoring of Healthcare Organizations [pubdate] => 2019-03-25T01:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/a66b0bd2-4a5d-11e9-92a7-63a7cec5559b/image/uploads_2F1553008934154-8353uxkoq8u-dc9c11917a74f97dc379899cf10310c4_2FAMI-Healthcare%2B2.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => 4 [subtitle] => Episode 4 - Independent Integrity Monitoring of Healthcare Organizations or Systems [summary] =>

In this special five-part podcast series, sponsored by Affiliated Monitors, Inc., I visit with AMI Managing Director Jesse Caplan on emerging issues in healthcare compliance and monitoring. In the Episode 3, we discussed how independent monitoring can serve important public policy goals in the healthcare industry.  In this Episode 4, we consider examples of independent monitoring involving healthcare organizations or systems.

How do healthcare organizations or the agencies that regulate them may use monitoring in connection with significant business transactions – as opposed to law enforcement or disciplinary proceedings.

What are some examples of where organizations and government regulators have jointly agreed to use an independent firm to monitor implementation and compliance with conditions of a healthcare transactions?

Join us for our final installment, Episode 5, where we tie it all together by discussing how to use an independent integrity monitor in a proactive approach that can lead to greater business efficiency and profitability.

For more information on Affiliated Monitors, check out their website here.

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In this special five-part podcast series, sponsored by Affiliated Monitors, Inc., I visit with AMI Managing Director Jesse Caplan on emerging issues in healthcare compliance and monitoring. In this Episode, Jesse Caplan discusses how health regulatory agencies are using independent monitoring to serve important public policy goals – specifically to help ensure a ready supply of quality healthcare providers, particularly for government programs like Medicaid and Medicare.

We consider some of the following issues:

In previous episodes, you and your colleagues at affiliated monitors have talked about how independent monitoring can effectively and efficiently extend the ability of government regulators to oversee healthcare providers and organizations.  can you explain some more about how independent monitors can serve this purpose?

In most cases, a monitor has to be approved by the government regulator or enforcement agency – what’s the value to the government of approving a monitoring relationship?

What about the healthcare organization – what are the benefits of an independent monitoring situation?

Can you give us some recent examples of where healthcare regulators are using independent monitors in different contexts?

Join us for Episode 4, where we discuss independent integrity monitoring of healthcare organizations or systems.

For more information on Affiliated Monitors, check out their website here.

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In this special five-part podcast series, sponsored by Affiliated Monitors, Inc., I visit with AMI Managing Director Jesse Caplan on emerging issues in healthcare compliance and monitoring. In the previous episodes, we considered how healthcare organizations can benefit by having an independent compliance expert – a fresh set of eyes, so to speak – evaluate the organization’s compliance program.  We explored the emerging risks involved in opioid prescribing and how organizations can mitigate that risk by pro-actively assessing the prescribing practices of their physicians and physician extenders.  In this final episode we discuss how an independent integrity review can be helpful for organizations that may be facing actual or potential compliance issues.   We consider some of the following:

Can independent integrity review and monitoring be helpful where a healthcare organization may have reason to believe it has an actual or potential compliance problem, but has not yet been subject to an enforcement action or a corporate integrity agreement imposed by the government?

How can engaging an independent integrity monitor help an organization in dealing with an enforcement agency?

Why do government enforcement and regulatory agencies prefer not to exclude important health care providers who have compliance issues?  

For more information on Affiliated Monitors, check out their website here.

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In this episode I visit with Sarah Hadden, the new Editor-in-Chief at Corporate Compliance Insights (CCI). We discuss her professional background in journalism and her journey to becoming EIC at Corporate Compliance Insights. Some of the highlights from the podcast include: 1.    Her professional background as a journalist and how it informs her thinking for CCI.2.    What drew her to CCI and the compliance space?3.    Her ascension to the EIC role at Corporate Compliance Insights.4.    How did CCI accomplish content marketing?5.    What do you hope to accomplish with CCI?6.    The CCI website recently went through a face-lift. What are some of the key elements of this new look?7.    Why is CCI “not a house cat anymore”?8.    Where can listeners go for more information?9.    Calling all authors-CCI looking for new contributors Resources: Check out the newly redesigned CCI Website here.  

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In this special five-part podcast series, sponsored by Affiliated Monitors, Inc., I visit with AMI Managing Director Jesse Caplan on emerging issues in healthcare compliance and monitoring. In Episode 1, Jesse Caplan discussed the many different types of potential regulatory and liability risks healthcare provider organizations and practices face in connection with the prescribing of opioids.  In this Episode, we discuss how healthcare organizations can identify and mitigate the risks from opioid prescribing by their practitioners. Some of the issues considered are:

What can healthcare organizations, and particularly their compliance departments do to identify and mitigate the risks from opioid prescribing?

Can you give us some examples of deficient opioid prescribing practices by, otherwise, experienced and caring physicians?

What help is available to healthcare organizations to address these risks?

Do monitoring firms like AMI provide these types of proactive assessments of opioid prescribing programs and practices?

Join us for Episode 3, where we discuss the expanding use of independent monitors by health regulators.

For more information on Affiliated Monitors, check out their website here.

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MARCH 23, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

·      Should safety be a ‘nice to have’? (New York Times)·      Boeing loses first contract for 737 MAX jets. (Wall Street Journal)·      Unrepentant Rujat Gupta says jury got it wrong, he never violated the law. (New York Times)·      What is his compliance experience? Shaq joins the Papa John Board of Directors (Business Insider)

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Array ( [id] => b0e572dc-4b3e-11e9-998f-4f680cd5f3c3 [createdAt] => 2019-03-20T19:33:43.925+01:00 [updatedAt] => 2019-03-20T19:33:56.430+01:00 [title] => IMPACT 2019- Sam Silverstein on Accountability [pubdate] => 2019-03-22T18:00:00.000+01:00 [author] => [imageFile] => [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => [subtitle] => IMPACT 2019- Sam Silverstein on Accountability [summary] =>

In this episode I visit with Sam Silverstein about his upcoming keynote speech at IMPACT 2019, entitled “Inspiring Accountability at Every Level”. Some of the highlights from the podcast include: 1.    Why Silverstein believes that “Accountability is the Highest Form of Leadership”Ô.2.    The problems he sees with the way companies talk about “accountability”. 3.    How accountability can create impact and influence for your organization through a leader’s values. 4.    How accountability enhances corporate culture and improves the organization.5.    Information on why you should attend ECI’s IMPACT2019. Resources: Sam Silverstein bio hereSam Silverstein website, on how to lead with accountability hereRegistration and Information on IMPACT 2019 here. 

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MARCH 22, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

·      Google & Facebook defrauded to the tune of $100. (Wall Street Journal)·      Too scared to drink Miller Lite? (New York Times) ·      Corporate execs trading on insider information? I’m shocked. (Financial Times)·      K-Pop scandal rocks South Korea. (Wall Street Journal)

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Array ( [id] => adc3ebdc-4b3a-11e9-bcb1-379097274c8a [createdAt] => 2019-03-20T11:05:00.687-07:00 [updatedAt] => 2019-03-20T11:10:38.827-07:00 [title] => IMPACT 2019, Tony Brigmon on Joy and Laughter [pubdate] => 2019-03-21T10:00:00.000-07:00 [author] => [imageFile] => [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => [subtitle] => IMPACT 2019, Tony Brigmon on Joy and Laughter [summary] =>

In this episode I visit with Tony Brigmon about his upcoming keynote speech at IMPACT 2019, entitled “The Funomenal Workplace: Energizing People & Culture with the Positive Power of Fun”. Some of the highlights from the podcast include: 1.    Tony’s professional history at SW Airlines as the “Ambassador of Fun”. SW is generally recognized as one of the most fun places to work in the US.2.    Why joy and laughter are keys to a great corporate culture. 3.    Some thoughts from his book “The FUNOMENAL WORKPLACE: Energizing People & Culture with the Positive Power of Fun!”4.    How a fun workplace enhances corporate culture and improves the organization.5.    Information on why you should attend ECI’s IMPACT 2019. Resources: Tony Brigmon website hereRegistration and Information on IMPACT 2019 here. 

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In this episode, I visit with Jonathan Armstrong consider some of his predictions for the rest of 2019. Even if these predictions do not become fully formed, you should consider them in light of your data privacy/data protection policies and protocols. Some of the issues and highlights are: Drones-what are the GDPR implications. The number of data breach notifications under GDPR. Through the end of January there were over 42,000 in the EU alone.Will AI and self-driving cars follow the rules on safe driving standards, or will there be new rules for the road? What will be the effects of data, big data and AI in elections going forward? What will be the fallout from Cambridge Analytica going forward?How will businesses respond to the industrialization of internet crime? What happens when there is a Zero-Day exploit?Cybersecurity insurance. Will standard insurance rules and regulations apply, or will new policy language be drafted for such coverage? For more information on Cordery Compliance, go their website here. Also check out the GDPR Navigator, one of the top resources for GDPR Compliance by clicking here.

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MARCH 21, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

·      Chuck Pearson pleads guilty. (France24.com) ·      USC goes after the students fraudulently admitted. (NPR)·      EU spank Google to the tune of $1.5bn for anti-trust violations. (Financial Times)·       Bayer stock plummets. (Washington Post)

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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. In this episode, Matt Kelly (the coolest guy in compliance) and I take a deep dive into the circumstances around the FAA approval process regarding the Boeing 737 MAX in the context of the crash in Ethiopia. Some of the highlights include: Ø What was the process by which the plane was approved by the FAA?Ø How did the Boeing CEO persuade President Trump to prevent the FAA from grounding the Boeing fleet during the investigation process?Ø Why did the Ethiopian government send the plane’s black box to France, rather than the US, for analysis?Ø How did the US lose the world’s leadership in aviation safety?Ø Where was Boeing’s compliance function during all of this?Ø What are the lessons for the compliance practitioner? For additional reading, see articles discussed in this podcast: 1.    In the Seattle Times, Flawed analysis, failed oversight: How Boeing, FAA certified the suspect 737 MAX flight control system, by Dominick Gates2.    In the Wall Street Journal, Prosecutors, Transportation Department Scrutinize Development of Boeing’s 737 MAXby Andrew Tangel, Andy Pasztor and Robert Wall3.     In Slate.com, Where Did Boeing Go Wrong?  by Jeff Wise.

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MARCH 20, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

·      Cambridge Analytica cover up? (The Daily Beast) ·      SEC ‘stunned’ Musk violated court order. (Bloomberg)·      Japanese Olympic Committee head resigns amid bribery scandal. (Fox Sports)·       It’s risky business to loan money to Donald Trump. (New York Times)

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MARCH 19, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

·      Of money laundering and cars in Ireland. (Irish Mirror)·      Warner Brothers head to step down due to an inappropriate relationship. (Wall Street Journal) ·      Feds open criminal investigation into Boeing regulatory approval of 737Max. (Wall Street Journal)·       FDIC settles with PwC. (MarketWatch)

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On this episode, we’re putting Freud to fraud and getting inside the minds of crooks. Today’s white collar criminals have decades of technological evolution at their fingertips, creating new opportunities for fraudsters to inflict crippling loss to organizations. Which means it’s time to update and expand the elements of the traditional Fraud Triangle, to account for this new and vastly different world.

The Fraud Pentagon

Donald Cressey created the original concept of the Fraud Triangle way back in the 1950s to explain why someone might decide to commit fraud. The three original elements of the triangle are Pressure, Opportunity, and Rationalization, but we need to be gravitating more toward the advanced meta-model of fraud which also considers the act of concealment strategy and the conversion piece.

This introduces two new elements to the Fraud Triangle, expanding it into the Fraud Pentagon:

Arrogance, especially unchecked arrogance, enables individuals to see themselves as superior or entitled to the point where policies and laws simply do not apply to them.

Competence contributes in two ways: a greater understanding of procedures expands on the Fraud Triangle’s Opportunity element, but it also enables them to create a wall of trust that shields them from suspicion.

Get inside the mind of a fraudster

Let’s take a look at Sam Antar, the CFO of Crazy Eddie.

For Antar, arrogance was not only the foundation on which Crazy Eddie was built, it was the soil on which the seeds of fraud were planted. Most people aren’t willing to start a public company for the main purpose of defrauding the public, and as far as this fraudster goes, it takes a real amount of arrogance to do that.

His actions also perfectly represent the two ways a fraudster can use competence to steal. He knew the business of accounting and how to socially control the situation to Crazy Eddie’s advantage. He was a nice guy. He knew he had to get people to like him, trust him, and respect him to lower their levels of skepticism. If you’re nice to people, they’ll be nice to you — like looking away or not asking the tough questions.

What you can do

By utilizing all five elements, you’re going to be more able to identify potential risks beyond legitimate individuals who simply have arrogance and competence as part of their persona.

First, start with a hands-on cultural assessment to determine the ethical pulse of your organization. Next, make it known to your board and ethics team that you have zero fraud tolerance within the organization, including at the top. Finally, make periodic checks to monitor the pressure points and values that affect individual behaviors.

Final thoughts

We need to pay more attention to the human element of fraud. In doing so, we’ll understand fraud a lot better and be able to build more effective controls. 

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On this episode of the Modern Medium Podcast, we’re talking about a medium not often thought about in the art field: time. How can we incorporate this into art, and what might that look like?

Time-based art

Time-based art can contain anything. It can be oral or visual — whatever you can incorporate into a specific amount of time. Movies, for example, are time-based, as you experience it for an hour and a half or two hours.

The influence of time

The thing that Paris likes most about time is how it can be ritualistic. You can get time anywhere: over the course of a day or a year, or as in an art exhibition where two people live their daily lives for nine months physically attached to each other.

On top of that, time brings to mind how things are going to change: some things are not necessarily always going to end the way they began. It’s easy to fall into our own ritual; we don’t believe time is going to change us, but 40 or 50 years later, we’re asking ourselves how we got here because this isn’t where we began.

Some examples of time-based art

In photography, artists have done the thing where they take a photo of themselves 365 days a year and you end up with a wall of prints of how you’ve changed within that time.

Paris’s personal project is on feelings and emotions. Every day this term, she’s been writing a definitive statement about the way that she is; an “I am _____” statement. It’s her way of coming back to herself and becoming more grounded and fully understanding where she’s at. At the end of the term, she will stitch each statement together, creating a compiled sense of who she was and is.

In terms of graphic design, what we think of on our computer and phone screens as permanent really aren’t. That in itself is a sort of time-based art. We don’t know how long we’ll have these things because they’re not tangible.

Our social media platforms are ways to share our own time-based art, because you’re getting this very selective, very narrow snapshot of what someone is experiencing at that specific time.

Thinking about time

Pick a sense, and spend 24 hours being fully aware of it. For example, what are the sounds that you experience when you go to class? As you go home? Or commute to work? Just begin to acknowledge the way you’re moving through time, because it’s easy not to think about. 

Documentation is also critical: it’s easy to experience and acknowledge these things, but how are you going to see how they’ve changed over time if you don’t document it? 

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Array ( [id] => 5934234c-482a-11e9-9470-43222bb57d74 [createdAt] => 2019-03-16T21:30:33.379+01:00 [updatedAt] => 2019-03-16T21:30:46.550+01:00 [title] => MTS Foreign Corrupt Practices Act Enforcement Action: Part V – Lessons Learned [pubdate] => 2019-03-18T06:00:00.000+01:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/5934234c-482a-11e9-9470-43222bb57d74/image/uploads_2F1552768102934-0kpc5g2smpxr-a5c3c8d2dd915e4aed9c6820d3a78624_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => 5 [subtitle] => MTS Foreign Corrupt Practices Act Enforcement Action: Part V – Lessons Learned [summary] =>

We are on Episode V of a five-part exploration of the recent the Department of Justice and Securities Exchange Commission resolution of a Foreign Corrupt Practices Act enforcement action against the Russian telecom company, MTS. In this episode,  I conclude with the lessons learned for the compliance professional. Today we focus on four key lessons: (1) due diligence, (2) business justification, (3) business valuation and (4) the long road of bribery. 

The documents which are the subject of this series are:

MTS Deferred Prosecution Agreement (DPA);MTS Criminal Information (MTS Information);SEC Cease and Desist Order (Order);Karimova and Akhmedov Indictment (Indictment);Kolorit Dizayn Ink LLC Plea Agreement (Plea Agreement); andKolorit Dizayn Ink Information (Kolorit Information);DOJ Press Release andSEC Press Release.For additional reading see the blog post, "MTS FCPA Settlement and Karimova Indictment: Part V – Lessons Learned"

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In a stunning resolution to one of the longest running bribery, corruption and money-laundering sagas on the international stage, the Department of Justice and Securities Exchange Commission both announced settlement of a Foreign Corrupt Practices Act (FCPA) enforcement action against the Russian telecom company, Mobile TeleSystems PJSC (MTS). This podcast continues a five-part series will examine the background facts of the case, provide a detailed review of the bribery schemes involved, the compliance failures of MTS and its actions during the investigation which contributed to the size of the penalty, the individual criminal prosecutions brought by the Department of Justice as a part of this action and the key lessons learned by the compliance practitioner. In this Part 3, I discuss the failures in the MTS compliance regime, the override of internal controls and local business unit management actions which facilitated the bribery schemes.  

The schemes involved: 

a. Purchase of entities controlled by or through Karimova;

b. Purchase of telecom licenses at inflated prices; and 

c. Fraudulent charitable donations. 

The documents which are the subject of this series are:MTS Deferred Prosecution Agreement (DPA);MTS Criminal Information (MTS Information);SEC Cease and Desist Order (Order);Karimova and Akhmedov Indictment (Indictment);Kolorit Dizayn Ink LLC Plea Agreement (Plea Agreement); andKolorit Dizayn Ink Information (Kolorit Information);DOJ Press Release andSEC Press Release.For additional reading see the blog post, "MTS FCPA Settlement and Karimova Indictment: Part III – Missed Red Flags and Overridden Controls"

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Array ( [id] => 3fad51c2-481c-11e9-8476-4f4a8902cf29 [createdAt] => 2019-03-16T11:49:37.594-07:00 [updatedAt] => 2019-03-16T12:30:33.121-07:00 [title] => MTS Foreign Corrupt Practices Act Enforcement Action: Part II-the Bribery Schemes [pubdate] => 2019-03-17T22:00:00.000-07:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/3fad51c2-481c-11e9-8476-4f4a8902cf29/image/uploads_2F1552762248968-xwryof3n6j-918f40733f4dc231185a9eb774258bad_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => 2 [subtitle] => MTS Foreign Corrupt Practices Act Enforcement Action: Part II-the Bribery Schemes [summary] =>

In a stunning resolution to one of the longest running bribery, corruption and money-laundering sagas on the international stage, the Department of Justice and Securities Exchange Commission both announced settlement of a Foreign Corrupt Practices Act (FCPA) enforcement action against the Russian telecom company, Mobile TeleSystems PJSC (MTS). This podcast continues a five-part series will examine the background facts of the case, provide a detailed review of the bribery schemes involved, the compliance failures of MTS and its actions during the investigation which contributed to the size of the penalty, the individual criminal prosecutions brought by the Department of Justice as a part of this action and the key lessons learned by the compliance practitioner. In this Part 2, I consider the bribery schemes used by MTS to pay the bribes and Karimova to receive the bribe payments.

The documents which are the subject of this series are:MTS Deferred Prosecution Agreement (DPA);MTS Criminal Information (MTS Information);SEC Cease and Desist Order (Order);Karimova and Akhmedov Indictment (Indictment);Kolorit Dizayn Ink LLC Plea Agreement (Plea Agreement); andKolorit Dizayn Ink Information (Kolorit Information);DOJ Press Release andSEC Press Release.For additional reading see the blog post, "MTS FCPA Settlement and Karimova Indictment: Part II - The Bribery Schemes"

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MARCH 18, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

·      Bribery and tax breaks, only in America? (Washington Post) ·      When you snow plough what does it teach? (New York Times) ·      Victoria Beckham lunches with the FT. (Financial Times)·       Why are mid-sized companies such cyber-security risks? (Houston Chronicle)

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Array ( [id] => 277eb1ce-483d-11e9-af10-5fc0e20ba672 [createdAt] => 2019-03-16T18:45:10.417-04:00 [updatedAt] => 2019-03-16T18:45:29.191-04:00 [title] => FCPA Compliance Report-Episode 422, Vera Cherepanova [pubdate] => 2019-03-18T01:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/277eb1ce-483d-11e9-af10-5fc0e20ba672/image/uploads_2F1552776168060-ej54m4mahqu-2e3cf2be01c8d858f0db517d49590447_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 422 [subtitle] => FCPA Compliance Report-Episode 422, Vera Cherepanova [summary] =>

In this episode I visit with Vera Cherepanova author of the book, “Compliance Program of an Organisation”. We visit about her recent article on the FCPA Blog and its implication. Some of the highlights from the podcast include: 1.     Cherepanova’s unique professional background. 2.     What led to her to pen the recent article in the FCPA Blog, “Who's to blame? The bad apple or the barrel?”3.     What are the differences in the ‘situation perspective’ and the ‘personality perspective’?4.     How do group dynamics inform corporate decision making?5.     How can a compliance program be designed to prevent nefarious group think which might lead to bribery and corruption?6.     Why is the myth of the rogue employee just that, a myth? Resources: FCPA Blog post “Who's to blame? The bad apple or the barrel?”Studio Etica websiteLinkedIn Profile

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Array ( [id] => 1b9b213a-4829-11e9-ae7f-eb340c4e79ad [createdAt] => 2019-03-16T21:21:40.532+01:00 [updatedAt] => 2019-03-16T21:21:52.595+01:00 [title] => MTS Foreign Corrupt Practices Act Enforcement Action: Part IV – the Individual Indictments [pubdate] => 2019-03-18T06:00:00.000+01:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/1b9b213a-4829-11e9-ae7f-eb340c4e79ad/image/uploads_2F1552767396004-rv9f2kr0xv-80c569d4d2c0ece8cde6683863ae225e_2FFCPA%2BCompliance%2BReport.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => 4 [subtitle] => MTS Foreign Corrupt Practices Act Enforcement Action: Part IV – the Individual Indictments [summary] =>

We are on Episode IV of a five-part exploration of the recent the Department of Justice and Securities Exchange Commission resolution of a Foreign Corrupt Practices Act enforcement action against the Russian telecom company, Mobile TeleSystems PJSC (MTS). In this episode,  I look at the individual indictments, which charged Gulnara Karimova, daughter of the former President of Uzbekistan, with one count of conspiracy to commit money laundering and Bekhzod Akhmedov, a former MTS executive based in Uzbekistan with FCPA violations of one count of conspiracy to violate the FCPA, two counts of violating the FCPA, and one count of conspiracy to commit money laundering.

The indictment discussed the three companies who paid bribes to Karimova, who then laundered the money on the international stage. They were VimpelCom Ltd. (now VEON Ltd.), Telia Company AB (formerly TeliaSonera AB) (Telia) and MTS. The schemes Karimova used were so similar as to be almost identical. The only thing that changed was the name of the company she was shaking down money from in her march towards receiving over $1 billion in ill-gotten payments. 

The documents which are the subject of this series are:MTS Deferred Prosecution Agreement (DPA);MTS Criminal Information (MTS Information);SEC Cease and Desist Order (Order);Karimova and Akhmedov Indictment (Indictment);Kolorit Dizayn Ink LLC Plea Agreement (Plea Agreement); andKolorit Dizayn Ink Information (Kolorit Information);DOJ Press Release andSEC Press Release.For additional reading see the blog post, "MTS FCPA Settlement and Karimova Indictment: Part IV – the Individual Indictments"

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In a stunning resolution to one of the longest running bribery, corruption and money-laundering sagas on the international stage, the Department of Justice and Securities Exchange Commission both announced settlement of a Foreign Corrupt Practices Act (FCPA) enforcement action against the Russian telecom company, Mobile TeleSystems PJSC (MTS). (See both the DOJ Press Release and SEC Press Release.) The FCPA enforcement action came in at $850 million which makes it Number 3 in the Top 10 of all-time FCPA settlements. This podcast opens a multi-part series will examine the background facts of the case, provide a detailed review of the bribery schemes involved, the compliance failures of MTS and its actions during the investigation which contributed to the size of the penalty, the individual criminal prosecutions brought by the Department of Justice as a part of this action and the key lessons learned by the compliance practitioner. In this Part 1, I begin with a review of the background facts, the parties and players and the fine and penalty of the MTS Foreign Corrupt Practices Act enforcement action.

The enforcement action was the third involving the same individual from the same country. That individual was Gulnara Karimova, the daughter of the former President of Uzbekistan. If that name sounds familiar to compliance professionals it is because she was also involved in the receipt of bribes paid in two other Top 10 FCPA enforcement actions; VimpelCom (now VEON Ltd.) and Telia Company AB. Contemporaneously with FCPA enforcement action involving MTS, there was a criminal indictment filed against Karimova and Bekhzod Akhmedov, a former MTS executive based in Uzbekistan. Akhmedov was charged with violating the FCPA for paying bribes to or for the benefit of Karimova and Karimova was charged she with laundering the money received as bribes.

The documents which are the subject of this series are:MTS Deferred Prosecution Agreement (DPA);MTS Criminal Information (MTS Information);SEC Cease and Desist Order (Order);Karimova and Akhmedov Indictment (Indictment);Kolorit Dizayn Ink LLC Plea Agreement (Plea Agreement); andKolorit Dizayn Ink Information (Kolorit Information);  DOJ Press Release andSEC Press Release.For additional reading see the blog post, "MTS FCPA Settlement and Karimova Indictment: Part I-Introduction".

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In this podcast series, recovering screenwriter (and Mr. Monitor) Jay Rosen and myself will indulge in passion for the movies by looking at them through the lens of compliance. Jay is a contemporary movie fan and I am more of a classic movie maven so we present a well-rounded view of the movie fandom. If you want to indulge in your love for the movies with two guys who are passionate about Hollywood and get some ideas for your compliance program, this is the podcast series for you.For this week’s offering, today we look at the Marvel-universe hero, Captain Marvel. 

Some of the highlights include:

What is the backstory for Nick Fury and Phil Coulson?How and why did internet trolls tried to sabotage the film?What was the response of Rotten Tomatoes?How were Eggs used to great effect?The special effects and battle scenes were great.Who was honored in different scenes in the movie?Jay gives the movie not only a full bucket of popcorn but as second bucket as well. Tom joins with an overflow bucket of popcorn.The Compliance takeaways:Understand where you come from, know your business inside and out.Nick Fury recognized a new risk-do you have a trip system for new risks in your organization? Do you have a seat at that table?How and why did Nick Fury lose his eye? How do you assess known strategies for unknown risks?Get out of the corporate office and into the field to meet your employees.Take action, when needed to change the balance.As a CCO you may have to take a stand.

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MARCH 16, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

·      Will horseracing end in California? (New York Times) ·      Will NAFTA 2 get thru? Texas Senator John Cornyn says it will be tough. (Houston Chronicle)·      Even the FT says USC is the ‘University of Spoiled Children. (Financial Times)·       VW sued by SEC. (Wall Street Journal)

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On this Ides of March with the St. Patrick’s Day weekend is upon, and we are all Irish at least for a day, Tom and Jay are joined by our favorite Irishman (and the Coolest Guy in Compliance), Matt Kelly to take a look at some of this week’s top compliance and ethics stories which caught their collective eyes this week. 

1.    Massive corruption scandal rocks college admissions across the country.  2.    FARA, FARA, FARA. 3.    Former KPMG national practice leader convicted in PCAOB scandal. 4.    Will the US finally clamp down on shell companies? Matthew Stephenson is cautiously optimistic. General David Petraeus and Sheldon Whitehouse explain why it’s a national security issue. 5.    Head coaches behaving badly as LSU head basketball coach suspended indefinitely in NCAA recruiting scandal. 6.    DOJ quietly modifies Corporate FCPA Enforcement Policy.  7.    Did Oracle violate the FCPA? 8.    1MDB scandal back in the news as former Goldman Sachs banker Timothy Leissner and Roger Ng banned from banking industry for life. David Simpson reports. Also-did Jho Low contribute to Trump campaign? Tom Wright and Bradley Hope report. 9.    How can you engage a BOD on cyber risks? 10. Tom continues with fan fav podcast series this week, the Adventures in Compliance this week.Check out the following: Part 1-The Red Circle; Part 2-The Abbey Grange; Part 3- The Priory School; Part 4-The Six Napoleons; and Part 5-The Empty House.  The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Panoplyand YouTube. The Compliance Podcast Network is now also on Spotify. It is now on Corporate Compliance Insights.11. In a special guest segment, Matt Kelly reports on the highlights from Ethisphere’s Global Business Ethics Summit, which was held this past week in New York.12. Check out the latest edition of Popcorn and Compliance where Tom and Jay look at Captain Marvel. It posts Saturday, March 16 on the Compliance Podcast Network.   Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is       Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. 

For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com. 

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MARCH 15, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

·      No. 3 at Facebook leaves of Facebook’s new direction. (New York Times)·      Admissions scandal hits USC hard. (New York Times)·      Bill Powers, author of the Powers Report on Enron passes away. (New York Times)·       The Wrecking Crew loses another member. (New York Times)

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MARCH 14, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

·      What is the ‘ethics premium? (Radical Compliance)·      The strippings start. (Risk & Compliance Journal) ·      60 Minutes episode leads to DPA. (MarketWatch)·       DOJ program for self-disclosure making headway. (Wall Street Journal)

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Welcome to the only roundtable podcast in compliance. This episode is the conclusion of a special two-part episode. Today, in Episode 43 Jonathan Armstrong and Matt Kelly weigh in on issues that are on their collective minds. Last week, in Episode 42 Mike Volkov and Jay Rosen sounded off. Shout outs (and no rants) followed Part 1 in Episode 42. This week, Jonathan Armstrong discusses the UK Serious Fraud Office’s conclusion of its investigation into the individuals at Rolls Royce and GSK.This week, Matt Kelly considers the continued taunting tweets from Elon Musk, the SEC’s request for a federal court to hold Musk in contempt from his prior SEC settlement over the ‘funding secured’ tweet and what all this may mean for the SEC going forward.Last week Mike Volkov used the Cohen testimony to the House Oversight Committee to explain the process of Congressional oversight, including how a company or witness is called to testify, the testimony preparation process and the testimony process.Last week, Jay Rosen talked about the DOJ focus on new industries for FCPA investigations including Major League Baseball teams and universities and colleges.The members of the Everything Compliance panelist are:Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.comMike Volkov– One of the top FCPA commentators and practitioners around and the Chief Executive Officer of The Volkov Law Group, LLC. Volkov can be reached at mvolkov@volkovlawgroup.com.Matt Kelly– Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.comJonathan Armstrong– Rounding out the panel is our UK colleague, who is an experienced lawyer with Cordery in London. Armstrong can be reached at armstrong@corderycompliance.comThe host and producer (and sometime panelist) of Everything Compliance is Tom Fox the Compliance Evangelist. Everything Compliance is a part of the Compliance Podcast Network.

For additional reading see: Cordery Compliance client alert Rolls Royce Case Sends a Strong Signal

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MARCH 13, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

·      Ex-Olympus boss wins pension suit. (Financial Times)·      Feds bring massive college admission scam action. (Washington Post) ·      The OECD is watching. (Calgary Herald)·       Former KPMG partners convicted in PCAOB scandal. (Wall Street Journal)

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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. In this episode, Matt Kelly (the coolest guy in compliance) and I take a deep dive into the recent Bankrate DOJ enforcement action in which the company garnered a NPA and for which it paid a total penalty of $28.5 million. We feature a discussion of internal control overrides. Some of the highlights include: Ø What are the background facts of the matter?Ø Why should you never name a slush fund “Ed’s Cushion?Ø What is the difference between management over-ride of internal controls and abuse of management control override?Ø Why is robust accounting required when there is a single source of data?Ø What is the straight line from internal controls and accounting to the Board and the audit committee?Ø Where was the Audit Committee? For additional reading see Matt’s blog post Bankrate pays $28.5 million in fraud caseon Radical Compliance.

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MARCH 12, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

·      Did Oracle violate the FCPA? (Tech Central)·      General David Petraeus calls for the end of shell companies. (Washington Post)·      Jay Clayton says prepare for market turmoil if there’s a hard Brexit. (MarketWatch)·       What is a ‘loonshot’? (Financial Times)

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In this episode, I consider the theme of mentoring in compliance.   In the story The Adventure of the Six Napoleons, Inspector Lestrade says to Holmes, “Well,” said Lestrade, “I’ve seen you handle a good many cases, Mr. Holmes, but I don’t know that I ever knew a more workmanlike one than that. We’re not jealous of you at Scotland Yard. No sir, we are very proud of you, and if you come down to-morrow, there’s not a man [...] who wouldn’t be glad to shake your hand.” This comment provides insights into how Holmes is viewed by other law enforcement officers; Holmes is a sort of living legend and the other officers respect his skills. The matter involved the theft of jewelry as Inspector Lestrade of Scotland Yard brings Holmes a seemingly trivial problem about a man who shatters plaster busts of Napoleon. One was shattered in Morse Hudson’s shop, and two others, sold by Hudson to a Dr. Barnicot, were smashed after the doctor’s house and branch office had been burgled. Nothing else was taken in any of the break-ins. It turns out that the thief had stolen several pieces of jewelry and then hid them in the Napoleonic busts. The thief, having been released from prison on an unrelated offense, was tracking down the busts in which he had placed the jewels for hiding, breaking them open and reclaiming his purloined property.  What are some of the ways that you might mentor a younger or less senior compliance professional? I think there are several ways suggested by Conan Doyle as epitomized by the statement by Lestrade and his relationship with Holmes and Watson.

1. Passion- CCOs and seasoned compliance professionals tend to be passionate about compliance even if (like myself) they have a legal background and came to compliance from a corporate legal department. You should work to transmit that passion to others you are mentoring.

2. Developing Networks-Introduce your mentees to others in your organization, so that they can be exposed to different leadership styles and see how such leadership styles work in various areas and with different constituencies.

3. Develop Purpose-This can be aided through reflection, introspection and ability to change as a leader. Moreover, rather than influencing others through individual speeches or stories, the everyday connections between a compliance professional’s sense of purpose and the compliance vision can work to form an indelible impression about the importance of compliance to an organization.  

4. Next Generation of Compliance Professionals-it is equally important that you communicate that to your mentee as it is certainly important that each generation of compliance leaders be fit for the future and be committed to continuous improvement going forward. 

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