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Protiviti and NC State University's ERM Initiative have conducted the 12th annual Executive Perspectives on Top Risk Survey, in which we poll board members and C-suite executives from around the world on the risks they see as most significant for their organizations over the next 12 months and the next 10 years. For this year's survey, we asked executives to peer into 2024 as well as a decade later, into 2034, and identify the most pressing risk issues for their organizations.Not surprisingly, a number of themes emerged from the results. The economy and inflationary trends are top of mind for 2024. Cyber threats are a critical concern not only next year but also a decade from now. The geopolitical landscape is creating ripple effects across numerous risk issues. Technology-related developments and challenges, including the emergence of generative AI, continue, accompanied by concerns about talent and skills gaps. And amid all this, there are growing worries about third-party risks. In this episode, Dr. Mark Beasley of NC State University's ERM Initiative and Jim DeLoach of Protiviti discuss the key findings and takeaways from this year's Top Risks study.Mark is the Professor of Enterprise Risk Management and Director of the ERM Initiative in the Poole College of Management at NC State University. The ERM Initiative provides thought leadership about ERM practices and their integration with strategy and corporate governance. As founding director, Mark leads the ERM Initiative's efforts to help pioneer the developments of this emergent discipline.Jim is a member of the Protiviti Solutions Leadership team. His market focus is on helping organizations succeed in responding to government mandates, shareholder demands and a changing business environment in a cost-effective and sustainable manner that reduces risk to an acceptable level. He assists companies with strategy setting, business planning and performance management.For further information, read our Executive Perspectives on Top Risks Survey executive summary and full report at www.protiviti.com/toprisks or http://erm.ncsu.edu.
The level of uncertainty in today's global marketplace and the velocity of change continue to produce an array of potential risks that can disrupt an organization's business model and strategic plan on very short notice. The results of the latest Top Risks Survey from NC State University's ERM Initiative and Protiviti indicate the business landscape, to no surprise, looks much riskier for 2023 compared with this time last year. In fact, this year's survey reveals that executives and directors perceive the current business environment as the riskiest in the 11 years we have conducted this study. In this episode, we interview Dr. Mark Beasley of NC State University's ERM Initiative and Jim DeLoach, a Managing Director with Protiviti, about the key findings from this year's study and their insights as to how board members and executives worldwide view the current and long-term business landscape. Mark is the Professor of Enterprise Risk Management and Director of the ERM Initiative in the Poole College of Management at NC State University. The ERM Initiative provides thought leadership about ERM practices and their integration with strategy and corporate governance. As founding director, Mark leads the ERM Initiative's efforts to help pioneer the developments of this emergent discipline. Jim is a member of the Protiviti Solutions Leadership team. His market focus is on helping organizations succeed in responding to government mandates, shareholder demands and a changing business environment in a cost-effective and sustainable manner that reduces risk to an acceptable level. He assists companies with strategy setting, business planning and performance management. For more information on this year's Top Risks Survey, visit http://erm.ncsu.edu and www.protiviti.com/us-en/survey/executive-perspectives-top-risks-2023-and-2032. Contact Mark at mark_beasley@ncsu.edu. Contact Jim at jim.deloach@protiviti.com.
As the NY Mets have the best record in baseball and we prepare for the celebrations of Easter and Passover, Tom and Jay are back to look at some of the week's top compliance and ethics stories in the Ng Convicted edition. Stories Roger Ng was convicted. Tom in the FCPA Compliance and Ethics Blog. Lessons from DOJ's first cyber fraud settlement? Annie Hudgins in the FCPA Blog. Depression as corporate materiality issue. Dick Cassin in the FCPA Blog. Should CCOs be required to certify compliance programs? Mike Volkov in Corruption Crime and Compliance. CEO fined by SEC for impeding whistleblower. Aaron Nicodemus in Compliance Week. (sub req'd) Matt Kelly in Radical Compliance. How much BOD oversight of compliance is enough? Jeff Kaplan in Conflict of Interest Blog. Compliance in recessionary times. Jim DeLoach in CCI. Water and corruption. Rick Messick in GAB. Why should an organization disclose diversity information? Antinuke Adrian in Harvard Law School Forum on Corporate Governance. Data governance best practices. Eray Eliaçik in Data Economy. Podcasts and More Tom visits with Matt Galvin and Dan Kahn over a 2-part podcast series. In Part 1, they talk about dealing with the DOJ during an FCPA investigation and thereafter. Into Star Trek, then join Tom and John Champion, who is on a 15-year mission to do a podcast on every episode of Star Trek, television, movie, and animated show on the podcast MissionLogPodcast.com. In Part 1, from TOS up to the start of TNG. In Part 2, from TNG to today. This month on the Compliance Life, I visit with Susan Divers, Director of Thought Leadership at LRN. In Part 1, academic life and early professional career. In Part 2, she moves to the corporate world. Why should you attend Compliance Week 2022? Find out on this episode of From the Editor's Desk. Listeners get a $200 discount to CW 2022 with the code Fox200. More here. Join Tom and Jay at ECI Impact 2022. Listeners to this podcast can save 20% off registration by entering discount code: TOM20 at checkout. Welcome back, Sam Rubenfeld. Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices
Ongoing challenges triggered by a once-in-a-century airborne pandemic continue to unfold, reminding executives that the seemingly countless uncertainties in the market have triggered an overwhelming landscape of ever-changing risks they must manage. Staying abreast of emerging risk issues and opportunities is becoming increasingly difficult. Considering the rapid pace of disruptive innovation and technological developments in a rapidly advancing digital world, the need for resilience and agility at pivoting when the unexpected occurs is at all-time highs.These are among the many notable takeaways from the latest Executive Perspectives on Top Risks study from Protiviti and NC State University's ERM Initiative. This episode of Powerful Insights features an informative discussion with Dr. Mark Beasley of NC State University's ERM Initiative and Jim DeLoach, Managing Director with Protiviti. Mark is the Professor of Enterprise Risk Management and Director of the ERM Initiative in the Poole College of Management at NC State University. The ERM Initiative provides thought leadership about ERM practices and their integration with strategy and corporate governance. As founding director, Mark leads the ERM Initiative's efforts to help pioneer the developments of this emergent discipline.Jim is a member of the Protiviti Solutions Leadership team. His market focus is on helping organizations succeed in responding to government mandates, shareholder demands and a changing business environment in a cost-effective and sustainable manner that reduces risk to an acceptable level. He assists companies with strategy setting, business planning and performance management.In the 10th annual edition of this global survey, Protiviti and NC State University's ERM Initiative report on the top risks on the minds of global boards of directors and executives in 2022 and over the next 10 years, into 2031. Our respondent group, which includes 1,453 board members and C-suite executives from around the world, provided their perspectives about the potential impact over the next 12 months and next decade of 36 risk issues.For more information and to find the research report, Executive Perspectives on Top Risks for 2022 and 2031, visit www.protiviti.com/toprisks. Transcriptions of Powerful Insights are available upon request from kevin.donahue@protiviti.com.
The college football season has ended with UGA finally defeating UA. Tom and Jay turn their full attention to the NFL playoffs now and also look at some of the week's top compliance and ethics stories this week in the Georgia Finally Beats Alabama edition. Stories 1. Carnival and Princess Cruise Lines violated DPA yet again. Matt Kelly in Radical Compliance. DOJ Press Release. 2. Prioritizing items from the Strategy on Countering Corruption. Worth McMurray in the FCPA Blog. 3. DOJ to look at short sellers. Jaclyn Jaeger in Compliance Week (sub req'd). 4. Proposed framework for CCO liability analysis. Mengqi Sun in WSJ Risk & Compliance Journal. 5. Manipulation on timing of FCPA enforcement action? Matthew Stephenson debunks a new article in GAB. 6. ComTech comes to financial institution compliance. Christian Wunderly in the FCPA Blog. 7. Phil Tetlock and Superforecasting come to risk management. Jim DeLoach in CCI. 8. Ethics and FCPA predictions for 2022. Mike Volkov with a double dose of Carnac the Magnificent. Ethics here. FCPA here. 9. Banks develop climate risk consortium. Aaron Nicodemus in Compliance Week. (sub req'd) 10. Liability of local representatives under GDPR. Kelly Hagedorn and Matthew Worby in Compliance and Enforcement. Podcasts 11. Tom and Matt Kelly conclude a 2-part podcast series on issues they are following in 2022. On Compliance into the Weeds, Part 1 and Part 2. 12. In January on The Compliance Life, I visit with Valerie Charles, partner at StoneTurn. Val has one of the most interesting journeys in compliance. In Part 1, she discussed her academic background and early professional career. In Part 2, she discusses her move to ComTech. 13. The Compliance Podcast Network welcomes Professor Karen Woody and her new podcast, Classroom Insider. In this most unique pod, Karen interviews some of her student to tell the history of insider trading. In Episode 4, Colin Manchester discusses the evolution of the disclose or abstain rule. 14. Mikhail Reider-Gordon returns in Lies, Spies & Corporate Crimes: The Wirecard Saga, with Season 2, Episode 3 Shell Games. 15. Check out 31 Days to a More Effective Compliance Program returns, which runs for the month of January, from January 1 to January 31. Available on the Compliance Podcast Network, Megaphone, iTunes, and all other top podcast platforms. Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices
Is compliance the happiest profession? Are you passionate about compliance? If you are either or both, you are not alone. Guest Host Karen Woody and Tom Fox look at these and other stories this week in the Happiest Profession edition. Stories Is Compliance the happiest profession? Amii Bernard-Bahn explores in Compliance Week (Sub Req'd) Report on SEC Enforcement Activity: Public Companies and Subsidiaries for 2021. Tom Gorman in SEC Actions. Supply chain and compliance. Mike Volkov in Corruption Crime and Compliance. Dick Cassin in the FCPA Blog. What does ESG mean for the SEC? Commissioner Crenshaw remarks to the Pepsico-PWE Conference in the Harvard Law School Forum on Corporate Governance. Corruption as psychic revenge. Richard Bistrong in the FCPA Blog. Mitigating cyber risks. Debevoise Plimpton lawyers in Compliance and Enforcement. COP26 wrap up. What are the lessons for compliance? Lawrence Heim in PracticalESG. SEC broke all whistleblower awards in FY 2021. Aaron Nicodemus in Compliance Week (Sub Req'd) Carrie Penman says it's a wakeup call for companies in Ethics and Compliance Matters. Diversity at the top. Jim Deloach in CCI. How did Classical Athenians define corruption? Kellam Conover in GAB. Podcasts and Events Have you or a loved one been impacted by Lyme Disease? This week I have run a 5-part series on this most misunderstood malady with Dr. Ben Locwin and Scott Endicott. In Part 1 we looked at Origins. In Part 2 we considered the Diagnosis Dilemma. In Part 3 we reviewed Treatment and Innovation. In Part 4, we discussed Prevention and Immunity. In Part 5, we looked ahead for where this disease detection, prevention and treatment might be heading. Are you exasperated? Then check, F*ing Argentina. In this podcast series co-hosts Tom Fox and Gregg Greenberg, author of F*ing Argentina explore the current American psyche of being overworked, over leveraged, overtired and overwhelmed. Find out about modern America's exasperation with well…exasperation. In Episode 10, a trip on the New Jersey Turnpike. This month on The Compliance Life, I visit with Wendy Badger, CCO at Tennant. In Part 1, she details her academic career and early professional life. In Part 2, changing ladders to advance your career. In Part 3, Wendy moves into the CCO Chair. How does a Compliance Bible become a best-seller? Check out Tom's appearance on the C-Suite Network's Best Seller TV to find out. Purchase The Compliance Handbook, 2nd edition here. Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Karen Woody is Associate Professor at Washington and Lee University School of Law and can be reached at kwoody@wlu.edu. Learn more about your ad choices. Visit megaphone.fm/adchoices
As we head to Halloween, Tom and Jay reflect on some of the top compliance and ethics stories on the Happy Halloween edition. Stories 1. More on Credit Suisse and Tuna bonds. Mike Volkov in Corruption Crime and Compliance. Tom in the FCPA Compliance and Ethics Blog. Tom and Matt Kelly in Compliance into the Weeds. 2. What is FARA. Jamie Rosenberg starts a 2-part series in Grand Jury Target. 3. Digital innovation and continuous improvement. Jim Deloach in CCI. 4. Banks and FinTech. Davis Polk lawyers in Compliance and Enforcement Blog. 5. What will happen to exec clawbacks? Aaron Nicodemus in Compliance Week. (sub req'd) 6. SARs and appalling inaction. Martin Kenney in the FCPA Blog. 7. Board readiness for shareholder activism. Paul DeNicola in Harvard Law School Forum on Corporate Governance. 8. Scrutiny of the Arts and Antiquities market. Linklaters client alert. 9. Hiding evidence from regulations costs KPMG in UK. Risk and Compliance Platform Europe. 10. The SEC on auditor independence. Matt Kelly in Radical Compliance. Podcasts and Events 11. Compliance Week 2022 opens for registration. Sign up here. 12. Ethisphere's World Most Ethical Company awards for 2022 are open for submission. For more information on the Application Process, click here. 13. Are you exasperated? Then check, F*ing Argentina. In this podcast series co-hosts Tom Fox and Gregg Greenberg, author of F*ing Argentina explore the current American psyche of being overworked, over leveraged, overtired and overwhelmed. Find out about modern America's exasperation with well…exasperation. In Episode 7, a Malodor on the Subway. 14. This month on The Compliance Month, I visit with John Melican, Managing Director at Exiger on his journey to and from the CCO chair. In Episode 1, college and early professional career at NY County DA's Office. In Episode 2, Melican moved into the corporate world and into compliance. In Episode 3, John moves into the CCO chair. In Episode 4, John talks about what he learned and how he uses that knowledge. 15. How does a Compliance Bible become a best-seller? Check out Tom's appearance on the C-Suite Network's Best Seller TV to find out. Purchase The Compliance Handbook, 2nd edition here. Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices
Jay is moving this week so he is 000. Tom takes a solo look at this week’s stories top compliance and ethics stories which caught his interest on This Week in FCPA. He is joined by special guests Dave Lefort to talk about the upcoming Compliance Week 2021 and Matt Kelly on Alex Oh. Stories Alex Oh resigns. Matt Kelly in Radical Compliance. What are 3 top BOD priorities? Maria Motes in CCI. Why compliance must understand business process. Mike Volkov in Corruption Crime and Compliance. Post pandemic business resiliance. Jim Deloach in CCI. What is location risk? Atul Vashistha in CCI. Investor due diligence on modern slavery. Subodh Mishra in the Havard Law School Forum on Corp Governance. ComEd as a wake up call. Vincent Wu in the Global AntiCorruption Blog. May is Internal Auditors Month. Navez Global’s Ethics and Compliance Matters Blog. German ups its AML game. Risk and Compliance Platform Europe. Want insight in WFH procrastion? Dick Cassin says look to writers, in the FCPA Blog. Podcasts and Events Tom and Megan Dougherty are doing a special podcast series around The Falcon and The Winter Soldier, currently streaming on Disney+. Check out Episodes 1&2, Episode 3, Episode 4, Episode 5. Episode 6 drops next week. This month on The Compliance Life, Tom welcomes Jonathon Kellerman. In Episode 1, Jonathon discusses the path he took to compliance. In Episode 2, he talked about his early professional career in healthcare compliance consulting. In Episode 3, he moves to the CCO Chair. In Episode 4, Jonathon looks down the road for what’s next in compliance. Join K2 Integrity on 6 May 2021 for a webinar, presented in Spanish, “Reputational Due Diligence for Companies and Investment Firms.” The team will discuss scenarios and cases in which reputational due diligence helped uncover hidden areas of risk and opportunities for our clients. Learn more and register here. Join Tom and Jay at Converge21, the Workshop Edition, click here. Best of all, its free. Join Jay and Tom at Compliance Week 2021. For information and registration, click here. Listeners to this podcast can receive a discount of $200 by using the code PODCAST599 at check out. CCI releases a new eBook, The FCPA Year in Review by the Compliance Evangelist, Tom Fox. You can obtain a copy here. Best of all its available at no charge. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, Eric Young joins Tom for a deep dive into the role of internal controls in a best practices compliance program. Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices
Big news in whistleblower information and an award this week. Tom and Jay are back to look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA. We are joined by special guest Asha Palmer to talk about the upcoming Converge21 Workshop Edition. Stories SEC whistleblower program big award and news. Mengqi Sun in WSJ Risk and Compliance Journal. Matt Kelly in Radical Compliance. How did compliance manage reporting during Covid-19. Jaclyn Jaeger in Compliance Week. (sub req’d) Human capital management. Paul Washington and Rebecca Ray in the Harvard Law School Forum on Corporate Governance. NYDFS cybersecurity enforcement action against National Securities. In NYU Compliance and Enforcement Blog. Post pandemic business resiliance. Jim Deloach in CCI. The cost of unethical requests. Isaac H. Smith, Maryam Kouchaki, and Justin Wareham in the MIT Sloan Management Review. (sub req’d) To Russia with Love. Mike Volkov on the US ramping up sanctions on Russia. For a deeper dive check out this week’s episode of Embargoed! On the Compliance Podcast Network. ComEd as a wake up call. Vincent Wu in the Global AntiCorruption Blog. Making your values stick. Brett Beasley in Center for Ethical Leadership. The role of complexity in compliance. Risk and Compliance Platform Europe. Can the government make us more ethical? Jeff Kaplan explores in the Conflict of Interest Blog. Podcasts and Events Tom and Megan Dougherty are doing a special podcast series around The Falcon and The Winter Soldier, currently streaming on Disney+. Check out Episodes 1&2, Episode 3, Episode 4, Episode 5. Affiliated Monitors, Inc.’s Donald Sternand Eric Feldman CFE, CIG, CCEP-I host special guest Rod J. Rosenstein, former Deputy Attorney General and currently a partner at King & Spalding, for part two of an engaging discussion on "The Past, Present and Future of Monitoring”. Rod and Eric conclude with key takeaways at the end of this podcast. This month on The Compliance Life, Tom welcomes Jonathon Kellerman. In Episode 1, Jonathon discusses the path he took to compliance. In Episode 2, he talked about his early professional career in healthcare compliance consulting. In Episode 3, he moves to the CCO Chair. For more information on the Converge21, the Workshop Edition, click here. CCI releases a new eBook, The FCPA Year in Review by the Compliance Evangelist, Tom Fox. You can obtain a copy here. Best of all its available at no charge. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, Eric Young joins Tom for a deep dive into the role of internal controls in a best practices compliance program. Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices
As the Great Women in Compliance podcast series hits its 100 anniversary, the first annual #GWICies are awarded. Tom and Jay are back to look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA. Stories Tom takes a deep dive into Ethisphere’s WME awards and reports. Part 1-WME awards. Part 2-managing a global workforce. Part 3-managing third-party risks. Part 4-communications and training. What is the price of nice? Mary Shirley explores in CCI. Criminalization of sports corruption. Ubong Udoeyo in GAB. Are you FARA compliant? Jonathan Marks in Board and Fraud. James Comey channels Bette Davis (and Jim Deloach). Aly McDevitt in Compliance Week. (sub req’d) How to prevent money-laundering. Alia Noor in XpertsLeague. Where to start with ESG reporting. MaryAnn Rains in Risk and Compliance Matters. Should compliance have outside competition? Dick Cassin opines in the FCPA Blog. Are you curious? (Not in a blue or yellow way) Joe Murphy channels Tim Harford in LinkedIn. Are you tone deaf from the top. Jon May in LinkedIn. Podcasts and Events The Great Women in Compliance has its 100th anniversary edition. Mary and Lisa reflect back on their journey. Join us in congratulating them. Listen in on the Compliance Podcast Network. MoFo joins the Compliance Podcast Network. Check out this week’s episode where Morrison & Foerster partner James Koukios speaks with fellow partner Brandon Van Grack about what to expect in the National Security space under the new Biden Administration. Coffee & Regs joins the Compliance Podcast Network. In this episode, host Natalie Silverman, former Chief Compliance Officers Matt Calabro and Allison Fraser sit down to discuss public pension fund independent compliance reviews. CCI releases a new eBook, The FCPA Year in Review by the Compliance Evangelist, Tom Fox. You can obtain a copy here. Best of all its available at no charge. Join Tom and Jay at Ethisphere’s 2021 Global Ethics Summit, which will be held virtually April 13-15. Listeners to this podcast will receive a 15% discount to Ethisphere’s Global Ethics Summit For more information and registration details click here. Use the code tomfox15 for your discount. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards. Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices
As March Madness descends upon us in the bubble this year, Sister Jean leads Loyola of Chicago into the Sweet 16. Tom and Jay are back to look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA. Stories 1. Universities behaving badly. Tom looks at the KU hiring and firing of Les Miles in a four-part blog post series on the FCPA Compliance and Ethics Blog. 2. Bette Davis and Jim Deloach both say fasten your seatbelts. Jim Deloach in CCI. 3. Do you have a Money Laundering Reporting Officer? Alia Noor in XpertsLeague. 4. How to avoid an OIG investigation. Sara Kropf in Grand Jury Blog. 5. Why do SPACs give compliance fits? Aaron Nicodemus in Compliance Week. (sub req’d) 6. Risk Management and IT Security in WFH. Sam Abadir in Risk and Compliance Matters. 7. Building bridges between compliance and BD. Mike Volkov in Crime Corruption and Compliance. 8. Three significant CCO hires. What does it mean? Nicholas Trutanich to Fox Corp (WSJ); David Searle to Tesla (Bloomberg) and Antonio Fernández to FirstEnergy (WSJ). 9. Why ignoring red flags around Iran is bad. Doug Cornelius in Compliance Building. 10. Paucity of FCPA enforcement in Q1, good or bad? Harry Cassin explore in the FCPA Blog. Podcasts and Events 11. On The Compliance Life, Rob Chesnut joins me for the month of March. In the first episode, In Episode 1, Rob talks about his academic career at UVA and how its Honor Code influenced his thinking about ethics in his professional career and his his career as an AUSA. In Episode 2, Rob moves cross country to join eBay. In Episode 3, Rob talks about moving into the Chief Ethics Officer role at Airbnb. In Episode 4, Rob looks down the road for compliance. 12. Microsoft has joined the Compliance Podcast Network, with two podcasts, Voice of Data Protection and Uncovering Hidden Risks. In Episode 5 of Voices of Data Protection, Bhavanesh Rengarajan discusses your information governance and records management journey. In Episode 5 of Uncovering Hidden Risks, Raman Kalyan Talhah Mir how far insider risk programs have come. 13. Coffee & Regs joins the Compliance Podcast Network. In this week’s episode, hosts Natalie Silverman visits with Alison Taylor and Victoria Olsen to discuss the compliance playbook for regulagtory change. 14. AMI’s Mikhail Reider-Gordon and Eric Feldman continue their discussion on trends in independent monitoring in this episode of Integrity Through Compliance. 15. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2nd edition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards. Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices
As March Madness descends upon us in the bubble this year, Tom and Jay look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA. Stories 1. Retaliation against whistleblowers on the rise. Tom interviews Pat Harned on the FCPA Compliance Report. 2. Novaris announces a new ABC compliance program. Harry Cassin in the FCPA Blog. 3. Expect closer cooperation between DOJ and SFO. Neil Hodge in Compliance Week. (sub req’d) 4. Developments in state of New York antitrust law. WilmerHale lawyers in NYU Compliance and Enforcement Blog. 5. NatWest facing criminal charges in UK over money-laundering. Mengqi Sun in WSJ Risk and Compliance Journal. 6. Due Diligence and SCRM. Matt Kelly in Navex Global’s Risk and Compliance Matters Blog. 7. Braskem investigates bribery of Pemex official in Mexico. Dylan Tokar in WSJ Risk and Compliance Journal. 8. Here be the Dragon for Internal Audit. Ali Noor in XpertsLeague. 9. Continuous monitoring through continuous auditing. Jonathan Marks in Board and Fraud. 10. What do BODs and senior execs see as the top risks for 2021. Jim Deloach in CCI. Charles Mitchell in the Harvard Law School Forum on Corp Governance. Podcasts and Events 11. On The Compliance Life, Rob Chesnut joins me for the month of March. In the first episode, In Episode 1, Rob talks about his academic career at UVA and how its Honor Code influenced his thinking about ethics in his professional career and his his career as an AUSA. In Episode 2, Rob moves cross country to join eBay. In Episode 3, Rob talks about moving into the Chief Ethics Officer role at Airbnb. 12. Microsoft has joined the Compliance Podcast Network, with two podcasts, Voice of Data Protection and Uncovering Hidden Risks. In Episode 3 of Voices of Data Protection, Bhavanesh Rengarajan discusses the value of information governance. In Episode 3 of Uncovering Hidden Risks, Raman Kalyan Talhah Mir consider using HR data to uncover insider risk. 13. Check out some hoops and ethics in the 2021 Ethics Madness during the first day of March Information and registration here. 14. In a special five-part podcast series, I visited with Pat Harned, President of Ethics & Compliance Initiative (ECI), about the organization’s 2021 Global Business Ethics Survey. In Episode 1, we review some of the key trends. In Episode 2, we review the key findings. In this Episode 3, we take up the most troubling finding in the GBES; that being the huge uptick in retaliation. In Episode 4, we consider the impact of Covid-19 on compliance. We conclude with Episode 5 on Conclusions and Recommendations. Full series available on iTunes here. 15. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2nd edition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards. Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices
The Enterprise Risk Management Initiative (ERM) at NC State annually surveys over 1,000 executives throughout the world about what they perceive to be the top risks each year. Mark Beasley, Professor and Director of the ERM and Jim DeLoach, Managing Director of Protiviti, share the most recent findings for 2021 as well as peek into insights for 2030. As you can imagine, the global pandemic shaped their answers quite a bit - and some of the responses and rankings were surprising.The Poole Podcast is hosted by Jenny Hammond, and is a production of Earfluence.
With two black swan events in January alone, Tom and Jay wonder what else 2021 will bring. Jay bemoans Tompa Bay in the Super Bowl.They are also back to look at some of the top compliance articles and stories which caught their eye this week. What does GameStop portend for compliance? Toms take a deep dive on the FCPA Compliance and Ethics Blog. Part 1-Background, Part 2-the Shorts, Part 3-the Squeeze, Part 4-the Regulators, Part 5-Final Thoughts. Tom and Matt Kelly take a deep dive on Compliance into the Weeds. Enterprise risks going forward. Matt Kelly looks down the road in Radical Compliance. Solar Winds turning into a Pandora’s Box? Jaclyn Jaeger explores in Compliance Week. (sub req’d) Risk culture in the digital age. Jim DeLoach explores in CCI. What does the CFTC settlement with Vitol portend for enforcement (and compliance). Gibson Dunn lawyers in NYU’s Compliance and Enforcement. Top regulatory trends to watch under the Biden Administration. Rachel Wooley in CCI. Is your compliance team too big? Dick Cassin asks in the FCPA Blog. Can compliance help with a workplace morale crisis? Richard Bistrong opines in the FCPA Blog. On The Compliance Life, Natalia Shehadeh, CCO at ABB joins me this month. In this first episode, Natalia explains why she choose the compliance profession. Check out the Episode 1. New podcasts out on the Compliance Podcast Network this month. In ComTech, Valerie Charles joins Tom for an exploration of the intersection of compliance and technology. Check out Episode 1. Episode 2 posts Monday, February 8. In Big Brains in Compliance Tom is joined by Stephen Martin to visit with some of the top thinkers and doers in compliance. It premiers February 22. Finally Tom premiers The Compliance Handbook, a podcast focusing on the nuts and bolts of compliance. In Episode 1, he is joined by Stephen Martin to talk about how to best think through a comprehensive compliance program. It premiers Tuesday, February 10. A new AMI podcast is out, Integrity Through Compliance. It will have AMI’s expert observations and guidance in the fields of ethics, antitrust, healthcare, government contracting, corporate governance, cybersecurity, construction, telecommunications, consumer protection and more.In this first episode, AMI founder Vin DiCianni visits with AMI MD Jerry Coyne the future of telehealth & home healthcare during a pandemic and beyond. Check it out here. Join K2 Integrity and the AIBACP for a webinar on February 17—National Defense Authorization Act: AML Compliance Implications and Priorities for the Banking Industry. Information and Registration here. On Thursday, February 25, join the “Ask an Expert FINQuiry” webinar on DOLFIN: K2 Integrity’s financial crimes compliance experts will respond to your AML/CFT, sanctions, and other financial-integrity-related questions. Information and Registration here. Compliance Week is accepting nominations for its Excellence in Compliance Award. Submit your nominee here. Join the Baker Tilly Fraud 1st Annual Fraud and Compliance Summit, Tuesday, Feb 23, 2021, to Thursday, Feb 25, 2021. Details and registration here. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices
We come to this episode as somber as we have ever been. President Trump incited insurrection against America, the American people and America’s Democracy on Wednesday. Tom and Jay join the call of Senators and Representative of both political parties to remove President Trump via the 25th Amendment or impeachment. We also have our first look in 2021 at some of the top compliance articles and stories which caught their eye this week. A game-changer in compliance-the AMLA Law of 2020. Tom takes a deep dive in a 5-part blog post series and podcast series on the FCPA Compliance Report. Why you need a compliance ‘Victory Plan’ for 2021. Dick Cassin explains in the FCPA Blog. CFTC’s foray into FCPA enforcement creates new risk factors. Aaron Nicodemus in Compliance Week (sub req’d) Was the Goldman Sachs FCPA resolution ‘just and appropriate’? Jenny Kline in GAB. Is your digital culture mature? Jim DeLoach in CCI. What are your compliance resolutions for 2021? Andrew Burt in Navex Global’s Risk & Compliance Matters First SolarWinds shareholder action filed. Kevin LaCroix in the D&O Diary. Rethinking corporate enforcement. John Coffee in Harvard Law School Forum on Corporate Goverance. A new month is here and a new guest on The Compliance Life. Gwen Hassan- Director of Compliance at CNH Industrial. In this month’s first episode, Gwen talks about the twisting road which introduced her to compliance. Check out the episode here. This month, on 31 Days to a More Effective Compliance Program, I look back over 2020 and set out some of the key enhancements you need to do for your compliance program in 2021. Day 1 | What 2020 Brought To Compliance Programs; Day 2 | Continuous Monitoring and Continuous Improvement; Day 3 | Leadership’s Conduct At The Top; Day 4 | Moving Compliance Tone Down Through An Organization; Day 5 | The Board and Operationalizing Compliance; Day 6 | The Code of Conduct; Day 7 | Policies and Procedures; and Day 8 | Internal Controls and Compliance. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. Join Tom on the Convercent event, “Future-proof your compliance program for 2021”, on Wednesday, January 20th | 11:00 am -:00 pm ET. For details and registration, click here. Join K2 Integrity on Thursday, January 14, 2021 at 10 AM ET, when financial crimes compliance experts respond to your AML/CFT, sanctions, and other financial integrity-related questions. Submit your questions and register here. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices
As President Trump fumbles through the worst performance ever in a Presidential debate, the NBA Finals and MLB Playoffs are here. Tom and Jay are back to look at top compliance articles and stories which caught their eye this week. Sara Kropf admitted to American College of Trial Lawyers. On how she became a lawyer in Grand Jury Target. Calling a bribe a facilitation payment doesn’t make it legal. Dick Cassin explains in the FCPA Blog. Tom takes a deep dive into the Sargeant Marine FCPA enforcement action. Part 1-Intro, Part 2-the Enforcement Action, Part 3-the Penalty, Part 4-the Individual Guilty Pleas, and Part 5-Lessons Learned. Compliance risk around collaboration tools. Matt Kelly in Radical Compliance. Tom and Matt take a deep dive in Compliance into the Weeds. Can VW change its culture? Mengqi Sun and Jack Hagel in the WSJ Risk and Compliance Journal. Is your company (and you as well) ready for the future. Jim DeLoach on how to do so in CCI. NYC Bar releases recommendation on CCO liability in regulated industries. NYU Compliance and Enforcement Blog. Jonathan Marks asks “Quis Custodiet Ipsos Custodes”? In his Board and Fraud blog. This month on The Compliance Life, I am joined by DeAnna Nwankwo. In this week’s Part 4, DeAnna talks about standing your ground when you have to do so as a CCO. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, we conclude this month focuses on internal controls. This week saw the following offerings: Monday- Aseessing internal controls; Tuesday- Gap Analysis; Wednesday- Culture as an internal control. Join us in October for Business Ventures. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. Join Jay and Tom at Converge20. Convercent’s top compliance conference is going virtual this year. Check at the agenda and register here. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices
July 14, 2020 - Highly regarded governance and ERM advisor, Jim DeLoach discusses the current environment faced by boards and CEOs, the importance of delivering on customer expectations in the middle of a pandemic, the evolution of Enterprise Risk Management over the past twenty years since he wrote the first book on ERM, and more. Further resources related to Jim's work can be found here: Jim DeLoach's Blog, Protiviti View, Protiviti Insights.
The DOJ/SEC drop the 2nd edition to the FCPA Resource Guide at 5 PM on July 2. As Tom and Jay brave the surge in covid cases to stay safe they are back to look at top compliance articles and stories which caught their eye this week. FCPA Resource Guide, 2nd edition released. Tom takes a deep dive in a 5-part blog post series on the FCPA Complinace and Ethics Blog. Part 1-The New Hallmark, Part 2-FCPA Corporate Enforcement Policy, Part 3- the Accounting Provisions, Part 4- Policy and Case Law Updates, Part 5-What does it all mean? Jonathan Marks on Borad and Fraud. Tom and Matt Kelly in Compliance into the Weeds. After its FCPA settlement, Novatris pays another $678MM for corruption inside the US. Mike Volkov in Corruption Crime and Compliance. A plan to restore trust in South Africa ABC enforcement. Larry Kirsch guest posts in GAB. A reassessment of due diligence in China? Jenny Liang opines in the FCPA Blog. Venezuela can’t get its gold out of England. Jon Rausch in Dipping Through Geometries. Amazon settles OFAC sanctions enforcement action. Mengqui Sun in the WSJ Risk and Compliance Journal. How can you make a risk management committee effective? Jim DeLoach shows the way in CCI. Is Deutsche Bank the world’s most corrupt? Matt Kelly digs in on Radical Compliance. Going from disaster recovery to business continuity? Carrie Penman in Ethics and Compliance Matters. On Compliance and Coronavirus, I was joined this week by Paul Mueller on how to reset, restart and accelerate your business in the era of Coronavirus; Ian Denis on employment and communication during Covid-19 and Breeda Miller on caregiving in the era of Covid-19. On the Compliance Podcast Network, Tom started the topic of 3rd party risk management this month.This week saw the following offerings: Monday-Questionniare; Tuesday-Due Diligence,Wednesday-levels of DD; Thursday-evaluating DD and clearing red flags; and Friday-compliance terms and conditions. The month of July is being sponsored by Affiliated Monitors. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. Great Upcoming Webinars: Navigating the Risks of Prescribing Opioids for Chronic Pain in the COVID-19 Era, Jul 22, 2020 12:00 PM in Eastern Time (US and Canada); with Jesse Caplan, Deb Waugh and Amy Fogelman, M.D. Registration and Inforamtion here. Computer Say ‘No’: Mitigating Legal & Ethical Risks in Public Agency Use of Automated Decision-Making Tools, Jul 28, 2020 12:00 PM in Eastern Time (US and Canada); with David Shonka, Mikhail Reider-Gordon and Jonathan Redgrave. Registration and Information here. ECI's Best Practice Forum, a Q&A Session with Brian Rabbitt, Acting Assistant Attorney General for the Criminal Division on the FCPA Resource Guide, 2nd edition, Thursday, July 30 2:00 - 4:00 p.m. EDT. Registration and Information here. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices
Most discussions concerning the COVID-19 global pandemic aspire to a path leading to some form of normalcy – a “new normal.” That pathway is often framed in terms of phases, with each phase leading to an equilibrium of sorts. In other words, the state of equilibrium will be defined differently with each phase. There is no roadmap for what is about to happen soon or next, but each iteration requiring a search for equilibrium results from changes in market and individual behavior, as well as adjustments in business processes to address those changes. That is why resiliency is the North Star that will guide the most successful companies forward.Protiviti has published a two-part series on finding equilibrium in uncertain times. In this podcast, Protiviti Managing Directors Dolores Atallo and Jim DeLoach discuss key points from Part 2, “Resilience is the North Star.” Dolores is a leader with Protiviti's Risk & Compliance and Enterprise Risk Management groups. Jim heads Protiviti's Global Thought Leadership Program and is a member of the firm's Global Solutions Leadership group.To learn more, read Getting There Eventually: Finding Equilibrium in Uncertain Times – Resilience is the North Star, available at www.protiviti.com/bulletin. Transcriptions of Powerful Insights are available upon request from kevin.donahue@protiviti.com
As Trump goes back into hiding in his bunker, the rest of the country continues to reopen. Self-Tom and Jay are back to consider some of the top compliance articles and stories over the past week. Final thoughts on the DOJ 2020 Update to the Evaluation of Corporate Compliance Programs. Tom summarizes the highlights on the FCPA Compliance and Ethics Blog. Mike Volkov gives his five top takeaways. Want to see examples of ham-fisted leadership. Matt Kelly on Radical Compliance. Tom and Matt take a deep dive in Compliance into the Weeds. Why does WFH raise compliance risks? Vera Cherapanova on the FCPA Blog. How did Jho Low use Kuwait to continue his fraud? Reporting in the WSJ. Common features of corruption and police brutality. Matthew Stephenson opines in GAB. How can you sharpen your cyber security? Jim DeLoach in CCI. How can you build a listen up culture? Bob Conlin on Navex Global’s Ethics and Compliance Matters Managing risk in compliance staffing. Kathryn Reimann on NYU’s Compliance and Enforcement Blog. Brian Benczkowski bails the DOJ. Dylan Tokar on the WSJ Risk and Compliance Journal. Interested in moving to the CCO chair? Check out my latest podcast series The Compliance Lifewhere I interview one CCO type for a month on their journey to the CCO chair and beyond. In on this month’s edition I visit with Ryan Rabalais. In this Part 2, he details why the corp compliance function can be seen as a Black Box. The Compliance Life is now available on iTunes. On Compliance and Coronavirus this week, I feature three podcasts from the folks at K2 Intelligence FIN: Gabe Hidalgo on lessons for financial institutions during the time of Covid-19; Sepideh Rowland on PPP and changing risks for financial institutions; Ray Dookhie joins me to discuss evolving fraud risk during the time of Covid-19. Compliance and Coronavirus is available on iTunes here. On the Compliance Podcast Network, this month topic: internal reporting and investigations; all on 31 Days to a More Effective Compliance Program. This week’s offerings: Monday-internal reporting and whistleblowers during layoffs; Tuesday-triage of allegations; Wednesday-the investigation protocol; Thursday- preparing for an investigation; Friday- selection of investigative counsel. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. Join Tom and Jonathan Marks for a webinar on the 2020 Update to the Evaluation of Corporate Compliance Programs. Thursday, June 18 at noon CT. Registration and information available here. Join Jay’s AMI colleagues Dionne Lomax and Jesse Caplan for a webinar entitled, “The DOJ’s New Guidance for Antitrust Compliance Programs + Special Considerations During the COVID Pandemic”. This webinar will discuss the U.S. Department of Justice Antitrust Division’s recently announced initiative to encourage corporations to develop and implement effective antitrust compliance programs. Our panel will discuss the new guidance and special considerations during the COVID pandemic and provide practical tips for developing a comprehensive program, including tips on how to handle a federal and/or state antitrust investigations. The event will be held next Tuesday, June 16th, at 12P EST/9A PST. Registration and information can be found here. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices
Most discussions concerning the COVID-19 global pandemic aspire to a path leading to some form of normalcy – a “new normal.” That pathway is often framed in terms of phases, with each phase leading to an equilibrium of sorts. In other words, the state of equilibrium will be defined differently with each phase. No one really knows how this transition is going to work, since there is no playbook for recovery from a pandemic that literally shuts down whole economies. Most likely, a state of equilibrium implies a different experience in which customer and consumer preferences, global supply chains, and the workplace are undeniably altered in ways requiring companies to refine their business models to remain relevant. Protiviti has published a two-part series on finding equilibrium in uncertain times. In this podcast, Protiviti Managing Directors Dolores Atallo and Jim DeLoach discuss key points from Part 1, “Build on Your Strengths.” Dolores is a leader with Protiviti's Risk & Compliance and Enterprise Risk Management groups. Jim heads Protiviti's Global Thought Leadership Program and is a member of the firm's Global Solutions Leadership group.To learn more, read Getting There Eventually: Finding Equilibrium in Uncertain Times – Build on Your Strengths, available at www.protiviti.com/bulletin. Transcriptions of Powerful Insights are available upon request from kevin.donahue@protiviti.com
We are living in a new world with the COVID-19 global pandemic. Companies are working hard every day to react and respond to it in order to keep their businesses moving forward. Organizations face questions on numerous fronts about customer relationships, supply chains, business continuity, technology needs and much more. But there's an important aspect of the crisis that companies cannot ignore – the people side of COVID-19. How should companies manage the transition of their organizations and workforces to an environment where their managers and employees may be working remotely on a long-term basis? More importantly, what are the change management implications on corporate culture of transitioning the organization to a distributed workplace?Kathie Topel is a Director with the Business Performance Improvement solution in Protiviti and an expert in change management. Jim DeLoach is a Managing Director and leader of Protiviti's Global Thought Leadership Program. They share their insights and best practices on how companies can be resilient and overcome adverse circumstances by focusing on their people during unplanned crises like this.Learn more by visiting www.protiviti.com/covid-19 and reading the Protiviti paper, The People Side of COVID-19: The Ultimate Test of Operational Resilience?Transcriptions of Powerful Insights are available upon request from Kevin.Donahue@protiviti.com
Searching for non-coronavirus related stories, self-distancing Tom and Jay are back to consider some of the top compliance articles and stories which caught their eye this week. 1. What were the FCPA enforcement highlights from Q1? Harry Cassin reports in the FCPA Blog. 2. Instilling trust in uncertain times. Bob Conlin in Navex Global’s Ethics and Compliance Matters blog. 3. Can 2008 be used as a guide for Boards in this economic downturn? Mark Gerstein and Christopher Drewery in the Harvard Law School Forum on Corporate Goverance. 4. Why must you be ever vigilent about fraud during an economic downturn. Jonathan Marks on Board and Fraud. 5. Managing digital disruption, part 2. Jim DeLoach in CCI. 6. Morrisons skates massive data breach liability in UK. Cordery Compliance Client Alert. 7. Trump evisceration of EPA puts companies in ethical dililemma. Jaclyn Jaeger in Compliance Week. 8. Marriott has data breach of 5.2MM guests. Aaron Nicodemus in Compliance Week. 9. A whistleblower award goes to a compliance professional. Matt Kelly in Radical Compliance. 10. On the Compliance Podcast Network, Tom concludes a month of looking at the role of innovation in compliance And opens a month of exploring continuous improvement, all on 31 Days to a More Effective Compliance Program. This week saw the following offerings: Monday-Innovation in Compliance Leadership; Tuesday-What Does Innovation in Compliance Look Like?; Wednesday-Continuous Improvement in Compliance; Thursday-the Compliance Audit; Friday-Internal Audit and Continuous Improvement. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices
Tom and Jay are awaiting their bookings to see the final installment in the 9-part series of the Star Wars saga. While waiting, they consider of this week’s top compliance and ethics stories which caught their collective eyes. 1. Tim Leissner settles with the SEC. Dick Cassin. Tom takes a deep dive in the FCPA Ethics and Compliance blog. 2. Aly McDevitt with two great articles on talks at CW Third Party Conference. 3. Mexico getting serious about fighting corruption. Luis Dantón Martínez Corres in the FCPA Blog. 4. Culture lessons from Coca Cola. Gary Patterson and Robert Baker in CCI. 5. Jay looks at the expansion of the corporate integrity monitor, in CCI. 6. Cyber enforcement and FTC expectations. Avi Gesser and Molly O’Malley Clarke in NYU’s Compliance and Enforcement blog. 7. What is the intersection of corp oversight and disobidience? Elizabeth Pollman in the Harvard Law School Forum on Corporate Governance. 8. How and why should you manage your corp culture? Jim DeLoach in CCI. 9. New DOJ Cooperation Policy on Trade Sanctions and Export Control. Matt Kelly in Radical Compliance. 10. Insurance to protect you from populism? Liam Fitzpatrick on the D&O Diary. 11. On the Compliance Podcast Network, Tom and Jay celebrate the opening of The Rise of Skywalker with a five part podcast series on the intersection of Star Wars (IV-VIII) and compliance. In Part 1, A New Hope and Risk; in Part 2, The Empire Strikes Back and Due Diligence; in Part 3, The Return of the Jedi and Effective Training; in Part 4, The Force Awakens and Disruption in Compliance and in Part 5, The Last Jedi and BOD Role in Succession. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices
From an uncertain global economy to a constantly evolving geopolitical landscape, cyber threats, increasing market disruptions caused by “born digital” organizations and the rise of AI-enabled technologies, and attracting, retaining and reskilling talent, there are many pressing challenges on the minds of board members and executives.According to the Executive Perspectives on Top Risks for 2020 study from NC State University's ERM Initiative and Protiviti, the overall global business context is somewhat less risky in 2020 compared to the last year. But significant concerns still abound. In this episode, Mark Beasley and Jim DeLoach discuss notable findings from their latest global study. Dr. Mark Beasley is Professor of Enterprise Risk Management and Director of the ERM Initiative, Poole College of Management, NC State University. Jim DeLoach is a Managing Director with Protiviti and head of the firm's Global Thought Leadership Program. He also is a member of Protiviti's Solutions Leadership team. For more information on the results of this survey, including deeper insights by industry, region and executive role, visit www.protiviti.com/toprisks, where you also can download complimentary copies of our executive summary and full report. Note: This podcast was recorded prior to the outbreak of the COVID-19 global pandemic.Transcriptions of Powerful Insights are available upon request from kevin.donahue@protiviti.com
In this second episode in Protiviti’s podcast series on the Responsible Technology Firm of the Future, Managing Directors Gordon Tucker, Matt Moore and Jim DeLoach discuss how technology firms can achieve the right balance between innovation, corporate governance and regulatory compliance.
In this third episode in Protiviti’s podcast series on the Responsible Technology Firm of the Future, Managing Directors Gordon Tucker, Matt Moore and Jim DeLoach discuss how technology firms have ethical, moral and even stakeholder-driven obligations to prioritize corporate social responsibility in their organizations.
Tom returns from London to find Sam Rubenfeld announcing his departure from the WSJ Risk and Compliance Journal via Twitter. Tom and Jay are back together to take a look at some of this week’s top compliance and ethics stories which caught their collective eyes this week. 1. Ethisphere’s 2019 World’s Most Ethical companies awards is announced. 2. Fresenius announces pending FCPA resolution. Sam Rubenfeld reports in the WSJ Risk and Compliance Journal. Sam announces his departure from the Risk and Compliance Journal via Twitter.3. The UK Serious Fraud Office closes its investigation into GSK and Rolls Royce with no individuals prosecuted. How could this happen? 4. What new industries are under FCPA scrutiny? 5. Bio-Rad GC retains most of his whistleblower award. 6. What is the intersection of Supply Chain and security? 7. What are the dangers of a GC shirking their FCPA duties? 8. What is the intersection of sports and compliance? 9. Proviti’s Jim DeLoach named recipient of the 2019 Bette Steed Leadership Award by the Greater Houston Business and Ethics Roundtable. 10. Tom has a special 4-part podcast series this week, Live from Londonwhere he was interviewed Jonathan Armstrong. Check out the following: Part 1-customers emerging as corruption risks, Part 2-state of compliance in 2019; Part 3- the Cognizant Technology FCPA declination; and Part 4-regime change and compliance. 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 soon to be on Corporate Compliance Insights.11. Navex Global is putting on a virtual master class-- Ethics Beyond Compliance: Retaliation, Thursday, March 14, 2019 at 8:30 AM Pacific | 10:30 AM Central | 11:30 AM Eastern | 3:30 PM GMT. Registration and agenda are availablehere. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices
Tom returns from London to find Sam Rubenfeld announcing his departure from the WSJ Risk and Compliance Journal via Twitter. Tom and Jay are back together to take a look at some of this week’s top compliance and ethics stories which caught their collective eyes this week. 1. Ethisphere’s 2019 World’s Most Ethical companies awards is announced. 2. Fresenius announces pending FCPA resolution. Sam Rubenfeld reports in the WSJ Risk and Compliance Journal. Sam announces his departure from the Risk and Compliance Journal via Twitter.3. The UK Serious Fraud Office closes its investigation into GSK and Rolls Royce with no individuals prosecuted. How could this happen? 4. What new industries are under FCPA scrutiny? 5. Bio-Rad GC retains most of his whistleblower award. 6. What is the intersection of Supply Chain and security? 7. What are the dangers of a GC shirking their FCPA duties? 8. What is the intersection of sports and compliance? 9. Proviti’s Jim DeLoach named recipient of the 2019 Bette Steed Leadership Award by the Greater Houston Business and Ethics Roundtable. 10. Tom has a special 4-part podcast series this week, Live from Londonwhere he was interviewed Jonathan Armstrong. Check out the following: Part 1-customers emerging as corruption risks, Part 2-state of compliance in 2019; Part 3- the Cognizant Technology FCPA declination; and Part 4-regime change and compliance. 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 soon to be on Corporate Compliance Insights.11. Navex Global is putting on a virtual master class-- Ethics Beyond Compliance: Retaliation, Thursday, March 14, 2019 at 8:30 AM Pacific | 10:30 AM Central | 11:30 AM Eastern | 3:30 PM GMT. Registration and agenda are availablehere. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices
In this first episode in Protiviti’s podcast series on the Responsible Technology Firm of the Future, Managing Directors Gordon Tucker, Matt Moore and Jim DeLoach discuss the changing landscape that today’s technology companies face.
While Trump has shut down the government over the holidays, compliance and ethics has not been shutdown. With Jay taking some time off to spend time with the family over this holiday week, Tom takes a solo pull on this week’s top compliance and ethics stories. 1. Two FCPA settlements this week. Polygram receives a Declination with disgorgement from the DOJ and SEC resolution. Sam Rubenfeld reports in the WSJ Risk & Compliance Journal. Electrobras settles with the SEC. Dick Cassin reports in the FCPA Blog. 2. Why is it important to fight money-laundering? ISIS has $400MM to spend on terrorism. Jonathan Rausch explains on Dipping Through Geomotries. 3. How can the US prosecute foreign bribe takers? Tom Firestone and Maria Piontkovska suggest ways to do so in the FCPA Blog. 4. What is ‘Brexhaustion’ and how does it impact compliance? Neil Hodge explores in Compliance Week. (sub req’d)5. What are four top cybersecurity issues every small business should address going into 2019? Pamela Passman explores in Navex Global’s Ethics and Compliance Matters. 6. Ten ways to improve your risk assessment process. Jim DeLoach in Corporate Compliance Insights. 7. Measuring and assessing corporate culture becomes more important in the UK. Op-Ed piece in the Financial Times(sub req’d)8. Colin Brady completes first ever unassisted trek across Antartica. Adam Skolnick reports in the NY Times. 9. In the post holiday blahs? Get back some of that holiday spirit with the new podcast series, Popcorn and Complianceas Tom and Jay consider the holiday favorite Elffor some compliance lessons. The podcast is available on multiple site: the FCPA Compliance Report, iTunes, JDSupra, Panoplyand YouTube. 10. Start your new year off with the Compliance Evangelist in the Compliance Master Class training. The first session, hosted by Baker Tilly, will be in San Fransicso on January 28 and 29. For information and registration details, click here. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices
While Trump has shut down the government over the holidays, compliance and ethics has not been shutdown. With Jay taking some time off to spend time with the family over this holiday week, Tom takes a solo pull on this week’s top compliance and ethics stories. 1. Two FCPA settlements this week. Polygram receives a Declination with disgorgement from the DOJ and SEC resolution. Sam Rubenfeld reports in the WSJ Risk & Compliance Journal. Electrobras settles with the SEC. Dick Cassin reports in the FCPA Blog. 2. Why is it important to fight money-laundering? ISIS has $400MM to spend on terrorism. Jonathan Rausch explains on Dipping Through Geomotries. 3. How can the US prosecute foreign bribe takers? Tom Firestone and Maria Piontkovska suggest ways to do so in the FCPA Blog. 4. What is ‘Brexhaustion’ and how does it impact compliance? Neil Hodge explores in Compliance Week. (sub req’d)5. What are four top cybersecurity issues every small business should address going into 2019? Pamela Passman explores in Navex Global’s Ethics and Compliance Matters. 6. Ten ways to improve your risk assessment process. Jim DeLoach in Corporate Compliance Insights. 7. Measuring and assessing corporate culture becomes more important in the UK. Op-Ed piece in the Financial Times(sub req’d)8. Colin Brady completes first ever unassisted trek across Antartica. Adam Skolnick reports in the NY Times. 9. In the post holiday blahs? Get back some of that holiday spirit with the new podcast series, Popcorn and Complianceas Tom and Jay consider the holiday favorite Elffor some compliance lessons. The podcast is available on multiple site: the FCPA Compliance Report, iTunes, JDSupra, Panoplyand YouTube. 10. Start your new year off with the Compliance Evangelist in the Compliance Master Class training. The first session, hosted by Baker Tilly, will be in San Fransicso on January 28 and 29. For information and registration details, click here. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices
Mark Beasley and Jim DeLoach discuss key findings and takeaways from the Executive Perspectives on Top Risks for 2017 study conducted by North Carolina State University's ERM Initiative and Protiviti. Mark is the Deloitte Professor of Enterprise Risk Management at North Carolina State University and Director of the school's ERM Initiative. Jim is a Managing Director with Protiviti and a member of the firm's Solution Leadership team.
Mark Beasley and Jim DeLoach discuss key findings and takeaways from the Executive Perspectives on Top Risks for 2016 study conducted by North Carolina State University's ERM Initiative and Protiviti.