Podcasts about navex global

Valerie Jeffords v. Navex Global, Inc.

What's new in the compliance industry and how can compliance leaders keep up with their peers? Sabrina Serafin interviews Carrie Penman, Chief Risk & Compliance at NAVEX Global, a worldwide leader in integrated risk and compliance management software services. Carrie presents the most interesting findings for NAVEX Global's annual risk & compliance benchmark report as well as additional advice for compliance leaders.

Find parts one, two, three & four------Episode Timestamps: Part five of this special mini-series features 12 CMOs and marketing leaders from some of the world's fastest-growing companies, including:*(4:00) - Amanda Malko, CMO, G2*(7:40) - Raj Khera, Head of Growth, SalesIntel.io*(9:05) - Katrina Wong, VP Product Marketing and Demand Gen, Segment*(11:11) - Morgan Norman, CMO, Dialpad*(12:30) - Kady Srinivasan, SVP Global Head of Marketing, Klaviyo*(13:55) - Joy Corso, CMO, Vonage*(15:05) - Justin Shriber, CMO, People.ai*(18:40) - Susan Beermann, CMO, NAVEX Global*(20:21) - Keith Messick, SVP Marketing, LaunchDarkly*(22:20) - Kyle Lacy, VP Marketing, Seismic*(23:45) - William Tyree, CMO, Revenue.io*(25:30) - Jon Miller, CMO, Demandbase SponsorDemand Gen Visionaries is brought to you by Qualified.com, the #1 Conversational Marketing platform for companies that use Salesforce and the secret weapon for Demand Gen pros. The world's leading enterprise brands trust Qualified to instantly meet with buyers, right on their website, and maximize sales pipeline. Visit Qualified.com to learn more. LinksFollow Ian on TwitterConnect with Ian on LinkedInwww.caspianstudios.com

“It's noisy out there and creativity can be the difference between people paying attention to you and not paying attention to you. So I think we have to take some risks as marketers to stand out and be a little bit different and not all look the same and play it safe.” — Susan Beermann----------Episode Timestamps:*(1:54) - How Susan first got into marketing*(2:45) - Susan's current role at NAVEX Global*(3:14) - What NAVEX Global is*(5:00) - The Trust Tree*(9:40) - How Susan's marketing team is organized*(12:24) - The Playbook - Susan's most uncuttable budget items*(14:25) - Digging deeper into NAVEX Global's website*(18:45) - Susan's conversion tips*(22:05) - Tactics/channels that are fading away in Susan's eyes*(26:10) - Susan's favorite campaign she worked on*(32:43) - The Dust Up*(38:17) - Quick Hits SponsorDemand Gen Visionaries is brought to you by Qualified.com, the #1 Conversational Marketing platform for companies that use Salesforce and the secret weapon for Demand Gen pros. The world's leading enterprise brands trust Qualified to instantly meet with buyers, right on their website, and maximize sales pipeline. Visit Qualified.com to learn more. LinksConnect with Susan on LinkedInFollow Susan on TwitterNAVEX Global is hiring! Follow Ian on TwitterConnect with Ian on LinkedInwww.caspianstudios.com

This week is the 20th anniversary of 9/11. On Saturday Tom and Jay ask that you take a moment of silence to remember all those who lost their lives on that day, their loved ones and those who were impacted by those events over the past 20 years.  Stories 1.     Elizabeth Holmes finally goes to trial. Aly McDevitt in Compliance Week (sub req'd) Opening statements review in the WSJ. 2.     The role of compliance in an ESG effort. David Povey in Compliance Week. (sub req'd) Matt Kelly weighs in on diversity as well in Navex Global's Risk and Compliance Matters. 3.     Raytheon under FCPA scrutiny. Dylan Tokar in WSJ Risk and Compliance Journal.  4.     CCI surveying stress in compliance. Henry Kronk in CCI. Take the survey here. 5.     From Wells Fargo to Kraft Foods. Matt Kelly in Radical Compliance. Tom and Matt in Compliance into the Weeds.  6.     Has the SFO turned the corner? Martin Kenney in the FCPA Blog. 7.     Measuring compliance measurement. Jeff Kaplan in COI Blog.  8.     From firm specific risk to systemic risk. John Coffee in Harvard Law School Forum on Corporate Governance 9.     Do you need a BOD Code of Conduct? Kristy Grant-Hart in Compliance Kristy. 10.  Joe Biden-the anti-corruption President?  Joe Acotoia in Corruption Crime and Compliance.  Podcasts and Events 11.  On Everything Compliance, the full gang discuss where they were on 9/11 and its impact on their profession. Lisa Fine looks back on 9/11 in  Great Women in Compliance.  12.  On Innovation in Compliance, Tom has run a 6-part special podcast series on Looking Back on 9/11, sponsored by Affiliated Monitors. In this series he will visit with professionals from a variety of compliance perspectives who will discuss how 9/11 changed our profession, including three who were in NYC during the attacks. Hear thoughts and reflections from Gabe Hidalgo, Juan Zarate, Alex Dill, Eric Feldman, Scott Moritz and John Lee Dumas. 13.  Join K2 Integrity September 15 for a round-table on the 20th Anniversary of September 11 and consider its impact on countering terrorist financing and illicit financing, and the continuing risks to national security. The roundtable will include members of the team that spearheaded the post-9/11 counter illicit finance regime: Juan Zarate, Chip Poncy, Danny McGlynn, moderated by Dr. Michele L. Malvesti. Information and Registration here.    14.  Ethisphere's World Most Ethical Company awards for 2022 are open for submission. For more information on the Application Process, click here.  15.  Breaking News features The Compliance Handbook, 2nd edition. Check out the Breaking News feature here. Purchase The Compliance Handbook, 2nd edition here.  Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Co-host Jay Rosen (AKA ‘Mr. Monitor') can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

As the Tokyo Olympics conclude and Biden passes an infrastructure bill, Tom and Jay are back to take a look at this week's stories top compliance and ethics stories which caught their interest on This Week in FCPA in the Infrastructure Bill edition.  Stories 1.     Navex Global new benchmark report. Carrie Penman, Andrew Burt and Mary Bennett in Navex Global's Risk & Compliance Matters blog. 2.     Conducting a double materiality assessment. Donota Calace in PracticalESG, Part 1 and Part 2.  3.     Dangers lurking in internal investigations? Mike Volkov in Corruption, Crime and Compliance.  4.     What can ‘ethics refugees' teach us about E&C? Richard Shell in CCI.  5.     Running a design sprint. Carsten Tams with Part 4 of his 5-part series on Design Thinking in LinkedIn.  6.     Amazon tagged for €746MM for GDPR violations.  Cordery Compliance news alert.  7.     What are the factors driving change in the investigation process? Jaclyn Jaeger in Compliance Week.  8.     The Achilles Heel of Compliance? Scott Moritz in LinkedIn.  9.     Ted Lasso and corruption. Harry Cassin in the FCPA Blog. 10.  100 bottles of booze on the wall, 100 bottles of booze.  Jeff Kaplan in the Conflict of Interest Blog.    Podcasts and Events 11.  Innovation in Compliance hits its 200th anniversary show. I celebrate with Dan Skolnick from Accuity. Check out the show here. 12.  On The Compliance Life, in August I visit with Kortney Nordrum CCO at Deluxe. In Episode 1, from Red Wing to Israel.  13.  How do the Greek Timoleon and the Roman Aemilius inform compliance leadership today? Find out as Tom and Richard Lummis continue their exploration of Plutarch's Lives in this episode of 12 O'Clock High, a podcast on business leadership. 14.  Compliance Week is having an open house this month as they have dropped their firewall. You can check out the entire publication for no charge. Check it out here.  15.  K2 Integrity's Sepideh Rowland will moderate an ABA Webinar: Managing Compliance Under Pressure, August 17. Register and information here. 16.  The Compliance Handbook, 2nd edition is released. Learn about it here. Purchase it here. 17.Each month Affiliated Monitors, Inc. introduces our readers and listeners to members of our AMI team. This month, in addition to our web Spotlight feature https://lnkd.in/g9aUbMaJ  we recorded a companion podcast with Deann Conroy, who is a Compliance Solutions Manager. She is an experienced attorney, leader, and educator of healthcare legal issues. Please follow the link in the show notes for this month's double shot of our colleague Deanne! https://lnkd.in/gfTdF5mq 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 Tokyo Olympics continue and FirstEnergy settles one of the largest domestic corruption cases ever, Tom and Jay are back to take a look at this week's stories top compliance and ethics stories which caught their interest on This Week in FCPA in the Domestic Corruption edition.  Stories The First Energy domestic corruption scandal. Rick Messick in GAB. Matt Kelly in Radical Compliance. Obstacles to compliance training. Dick Cassin in the FCPA Blog. Should companies go into space? Mike Volkov says no in Corruption, Crime and Compliance. Is your compliance relationship with HR unleavened? Then leaven it, says Amy Dufrane in CCI. Can the Olympics be saved? Perhaps from the corruption angle. Andy Spalding in the FCPA Blog. What's it like to be a whistleblower? Aaron Nicodemus with a 5-part series in Compliance Week (sub req'd). Aaron discusses the series on this edition of From the Editor's Desk. (No Sub Req'd) What happens when a CCO acts like a GC? They ‘step in it' says Matt Kelly in Radical Compliance. Are you afraid of your own shadow? Michael Rasmussen says you might well should be in Navex Global's Risk and Compliance Matters. If you step in it, RAC it. Ngozi Okeh in PracticalESG. Boards and Corporate Strategies in the post-pandemic world. Wachtell, Lipton lawyers in the Harvard Law School Forum on Corporate Governance. Podcasts and Events Jonathan Keller reviews the evolution of healthcare compliance in this episode of The Compliance Handbook. Scott Moritz turns the tables on Tom by interviewing him about his recently released book The Compliance Handbook, 2nd edition on this week's edition of Fraud Eats Strategy. On The Compliance Life, in July I visited with Asha Palmer, CECO at Convercent. In Episode 1, from Claire Huxable to the DOJ. In Episode 2, ‘What do you think about Abu Dhabi?' In Episode 3, she moves into compliance consulting and is surprised with what she observed. In Episode 4, Asha talks about moving into the CECO role and beyond. How do the Greek Cleomenes and the Roman Giaus Graccus inform compliance leadership today? Find out as Tom and Richard Lummis continue their exploration of Plutarch's Lives in this episode of 12 O'Clock High, a podcast on business leadership. In Integrity Through Compliance, Episode 14, Joe Miller Returns to Discuss Anticipated Antitrust Enforcement Trends in the Biden Administration. The Compliance Handbook, 2nd edition is released. Learn about it here. Purchase it 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

As the Tokyo Olympics stumble out of the gate and Tom returns to the wilds of the Texas Hill Country, he and Jay are back to take a look at this week's stories top compliance and ethics stories which caught their interest on This Week in FCPA in the No Fan Olympics edition.  Stories Why co-creation is key to design thinking in compliance. Carsten Tams continues his 5-part series on LinkedIn. Check out Tams Part 1 and Part 2 of his great 5-part series. What's going on with ESG in Europe. Vera Cherepanova in the FCPA Blog. What is social risk? Lawrence Heim in com. What's the current job market for compliance professionals? Matt Kelly in Radical Compliance. SFO secures two DPAs. Neil Hodge in Compliance Week (sub req'd) Responding to parallel investigations. Nicole Sprinzen and Catherine Yun in CCI. Auditing of SPACs. Francine McKenna takes a deep dive on The Dig. (Sub Req'd) EU Whistleblower Initiative? Keith Taylor in Navex Global's Risk and Compliance Matters. FTC signals more aggressive enforcement. Alexander Paul Okuliar and David J. Shaw NYU's Compliance and Enforcement The Enactment of Purpose Initiative. Wachtell, Lipton lawyers in the Harvard Law School Forum on Corporate Governance. Podcasts and Events In a sponsored 6-part podcast series Tom visits with folks from Exiger on its ground-breaking TP&SCRM framework, the TRADES Framework. Part 1-Transparency; Part 2-Risk Mitigation; Part 3-Assessing Risk; Part 4-Determining Mitigations; Part 5-Evaluating Uplift; Part 6, Supplier Monitoring. Tom and Megan Dougherty conclude their series on Loki, in Episode 6, For All Time. Always. They review the concluding episode of Season 1, look back over the entire series, review it in the context of the MCU series WandaVision and the Winter Soldier and Falcon and where the MCMultiverse may be headed. A new month on The Compliance Life! In July I visit with Asha Palmer, CECO at Convercent. In Episode 1, from Claire Huxable to the DOJ. In Episode 2, ‘What do you think about Abu Dhabi?' In Episode 3, she moves into compliance consulting and is surprised with what she observed. Are you a #GWICee? If you are not you should be. Join the co-hosts Lisa Fine and Mary Shirley for their fan fav lightening-round of listener submitted questions in this episode of Great Women in Compliance. What is the budget process for a corp compliance function? Kortney Nordrum lays it out for your in this episode of Survive and Thrive. Check out the video version on YouTube. The Compliance Handbook, 2nd edition is released. Learn about it here. Purchase it 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

As the Trump Organization and its CFO are criminally indicted, Tom and Jay prepare for the 4th of July and are back to take a look at this week's stories top compliance and ethics stories which caught their interest on This Week in FCPA in the Trump Organization Indicted edition.  Stories Trump Organization and CFO indicted on criminal charges. NYT, WSJ, FT, WaPo How whistleblowers protect the bottom line. Bob Conlin in Navex Global's Risk and Compliance Matters. Amec Foster Wheeler, the first FCPA corp enforcement action in 2021. Tom takes a deep dive in a 3-part series on the FCPA Compliance and Ethics Blog. Tom and Matt Kelly take a deep dive in Compliance into the Weeds. Mike Volkov goes deep on Corruption Crime and Compliance. Harry Cassin (as usual) breaks the story on the FCPA Blog. US government AML priorities. FinCen issues report, here. Kyle Brassuer in Compliance Week (sub req'd) Dylan Tokar in WSJ Risk and Compliance Journal. Do lawyers make good gatekeepers? Sung Hui Kim says ‘perhaps'. Keith Bishop says you shouldn't even ask the question. Human-Centered Design: An Engaging Ethics & Compliance Program Serves Users' Needs. Carsten Tams in Part 2 of his five-part series on LinkedIn. Reducing your CCPA risk. Debevoise lawyers on NYU's Compliance and Enforcement blog. Was Amec Foster Wheeler afraid of its agents? Dick Cassin explores in the FCPA Blog. Auditing your climate risk. Mark Texler in a two-part series on PracticalESG. How do you evaluate the value of ethics? Henry Kronk in CCI.  Podcasts and Events How does history inform compliance? What are the leadership lessons from ancient Greeks and Romans? Find out in this special 10 part podcast series on famous Greeks and Romans from Plutarch's Lives this week on 12 O'Clock High, a podcast on business leadership, hosted by Richard Lummis and Tom Fox. In Episode 1, they mined Plutarch about the lives of and leadership lessons from Themistocles and Camillus. In Episode 2, they looked at Solon and Popsicola. In Episode 3, Pericles and Fabius Maximus. In Episode 4, Alcibiades and Coriolanus. Are you a MCU fan? If so check out the special series on the Disney streaming service Loki and Tom Fox and Megan Dougherty who return to review the entire series. They catch up on Episode 1-3 in this edition of Popcorn and Compliance. Trekking Through Compliance Returns! Tom reviews all 79 episodes of Star Trek, the Original Series beginning June 1. Each day at 3 PM on the Compliance Podcast Network. This week's offerings included Operation Annihilate, Amok Time, Who Mourns for Adonias, The Changeling and Mirror Mirror. On this episode of Integrity Through Compliance, join Affiliated Monitor's Rod Grandon, Jenner & Block Partner, David Robbins, and former Engility Holdings, Inc. General Counsel, Tom Miller, for an in-depth discussion focusing on crisis management from the perspectives of a General Counsel, outside legal counsel, and federal acquisition official. On July 13, join K2 Integrity for its Virtual Compliance Conference on Environment, Social, and Governance Compliance Risks for Financial Institutions. Information and Registration here. It is now HERE, the book you have all been waiting for, The Compliance Handbook, 2nd edition is available for purchase. The Compliance Handbook 2ndedition is available in both print and eBook editions. Available 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

LRN and NAVEX Global recently released two important annual surveys.  LRN issues a yearly report on ethics and compliance program effectiveness.  NAVEX Global issues an important annual report on incident management trends based on its large database of hotline data. In this Episode, Michael Volkov review these two reports and the important ethics and compliance trends. The NAVEX Global report can be downloaded here. The LRN survey is here.

As our thoughts turn towards Memorial Day and what it represents, we contemplate James Bond streaming on Amazon. Jay is now podcasting from a disclosed location, as he and Tom take a look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA in the Shaken Not Stirred edition.  Stories Big corruption trial and great lawyer gossip going on in London, as ENRC sues former lawyer and SFO. Check out these reports in Rueters, here, here and here. Revisiting the FCPA Top 10. Harry Cassin in the FCPA Blog. GDPR turns 3. Neil Hodge reflects in Complinace Week. (sub req’d) Tom and Jonathan Armstrong podcast on Life with GDPR. More anti-trust troubling the world of chicken prodcuers. Mike Volkov in Corruption, Crime and Compliance. What is the intersection of ESG and Compliance. Tom explores the role of compliance here and here. Matt Kelly weighs in on the SEC comments in Radical Compliance. How to lessen extortionware attacks. Rob Shavell in CCI. DFS fines two companies for data breachs. Paul Weiss lawyers in NYU’s Compliance and Enforcement Blog. Internal reporting is down. What does it portend? Andrew Burt in Navex Global’s Ethics Matters. Caremark Developments and the Imperative of Regular Risk Review. William Savittin the Havard Law School Forum on Corporate Governance. What is Bizzaro Malware? Jonathan Rusch explains in Dipping Through Geometries. Podcasts and Events In this episode of The Compliance Handbook, Tom has a great discussion with Hui Chen about her thoughts on the evolution of compliance. Compliance Man Returns with a New Season: True or False? Tom and emerging market compliance special Tim Khasanov-Batirov are back with a new 10-episode season. In Episode 1, they explore how whistleblowers are received in emerging markets. Can’t get out of your Ivory Tower, the check out Compliance Man to learn about compliance in emerging markets. The season’s episodes will post at 7AM over the next few months. Part 1 . Trekking Through Compliance Returns! Tom reviews all 79 episodes of Star Trek, the Original Series beginning June 1. Each day at 3 PM CT on the Compliance Podcast Network. Join K2 Integrity 9 June 2021 to hear a team of experts discuss the benefits of taking a holistic and programmatic approach to preventing, detecting, responding to, and remediating insider threats. Learn more and register here.  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. 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

In this episode of “True Confessions of a Sales Leader,” we look at how being vulnerable and building self-awareness can make better sales leaders and ultimately sales teams with our guest, Mike Porter, chief sales officer at NAVEX Global. Here are four key takeaways:Bring your experience as a salesperson Many great sales leaders were also great salespeople but all not great salespeople  make great sales leaders. When they move from an individual contributing role to a leading role, many leaders tend to go back to what made them successful, like being a solid dealmaker. Bring your skills, of course, but also tune into what your team brings and how to get the most out of them from your background. Coach them on confidence, on closing a deal, or even prospecting. All things you excelled at. Use self-awareness to grow You may think (and rightfully so!) you’ve built a solid team, have motivated them, helped them understand cross-group coordination. However, one day, feedback, whether it’s negative or positive, from a team member might prove otherwise. It’s important to keep having those ah-ha moments. For example, maybe you’re intense, focused on the numbers. Add some levity and make sure you come across as approachable. Self-awareness exists in every single one of us and forces us to look at our own challenges but also teaches how to improve ourselves. You can’t avoid the (in)famous flight riskYou’re an amazing sales coach. You’ve built a great team but now some of them have defected to the competition or a better role elsewhere. Coaching people because they need it or because they have career aspirations, then building their skills, and then having them leave can happen. It’s hard to lose a top performer to that next step in their career. The benefit? Most of your team wants to stay because you’ve built credibility and you’re helping them grow. That matters, too. Develop an 80/20 document This is a great tool and can be as simple as a one-pager. Communicate 80% of the document on how you work with a sales team, what excites you, things you’re passionate about, your strengths, or even what triggers you. The other 20%? There will be time to work that out, time spent working together will reveal that. Don’t make your team members guess how to work with you. Have new team members do their own 80/20 document, too. It helps provide self awareness and a way to teach new team members how to treat you—and vice versa.

Bitcoin goes on a wild ride this week with its buddy, Elon Musk. With Jay podcasting from a still undisclosed location, he and Tom take a look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA in the Musk and Bitcoin edition.  Stories 1.     Of Elon Musk, Bitcoin and Uturns. Matt Kelly in Radical Compliance. Tom and Matt in Compliance into the Weeds. Andrew Ross Sorkin in Dealbook. On SNL here. 2.     Benchmark with the Walmart Global ABC policy.  Harry Cassin in the FCPA Blog.  3.     Closing the moral hazard gap. Jeff Kaplan in the FCPA Blog.  4.     Boards and cybersecurity oversight. Wachtell lawyers, John F. Savarese, Sarah K. Eddy, and Sabastian Niles in the NYU Corruption and Enforcement Blog. 5.     You are ready for th EU Whistleblower Directive? Neil Hodge in in Compliance Week (sub req’d) 6.     Are companies serious about Diversity & Inclusion? Henry Kronk in CCI.  7.     Who are a CCOs most important resource (Hint: it’s customers). Steve Chapman in Navex Global’s Ethics and Compliance Matters Blog.  8.     What happens when whistleblowers joust over an award? Matt Kelly in Radical Compliance.   9.     Do you have a mindset of respect? Sam Silverstein in the Accountability Blog. 10.  How does ESG serve investors? Lawrence Heim in PracticalESG.com.   Podcasts and Events 11.  Check out the 5-part podcast series this week sponsored by K2 Integrity. We consider the intersection of Compliance, Diligence and M&A. Part 1-Core Diligence, Part 2-Current state of M&A; Part 3-Avoiding Reputational Issues, Part 4-Global M&A issues, Part 5-Post-acquistion integration.  12.  In the most recent episode of Integrity Through Compliance, Jesse Caplan, Dionne Lomax and Jim Anilot discuss “From Business Opportunities to Compliance Risks: Health Expectations in 2021”. Check it out here.  13.  In a special two-part series, Tom visits with Joey Seeber, CEO of Level Legal. They discuss alternative legal services providers and the Baylor Bears 2021 NCAA Men’s Basketball Championship. Part 1 and Part 2. 14.  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.  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, 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

With Jay back online, he and Tom take a look at this week’s stories top compliance and ethics stories which caught his interest on This Week in FCPA in the It’s a New Dawn edition. Stories 1.     SAP trade sanction enforcement action. Matt Kelly with two pieces in Radical Compliance. Mike Volkov takes a deep dive in a 4 part series on Corruption Crime and Compliance.  2.     Should compliance make folks uncomfortable?  Anna Romberg explores in the FCPA Blog.  3.     Has FCPA enforcement stopped? Of course not and Dick Cassin explains why on the FCPA Blog.  4.     Scott Moritz synthesizes the FCPA Resource Guide and Evaluation of Corp Compliance Programs. On LinkedIn. 5.     The Zombie idea of corruption risk? Matthew Stephenson in the Global AntiCorruption Blog. 6.     What does Solar Winds mean for businesses? Dan Verton in CCI.  7.     On the intersection of governance, fraud and culture. Jonathan Marks in Board and Fraud.  8.     Compliance and Supply Chain Risk Management. Josh Reed in Navex Global’s Ethics and Compliance Matters Blog. 9.     DNB fined $48.1MM for AML violations. Aaron Nicodemus in Compliance Week (sub req’d) 10.  Compliance officers taking the lead in corp ESG. Dylan Tokar in WSJ Risk and Compliance Journal.  Podcasts and Events 11.  Check out the newest addition to the Compliance Podcast Network, Survive and Thrive. In this podcast, co-hosted by Tom Fox and Kortney Nordrum, we unpack some compliance disasters and more importantly how to avoid them. Check out Episode 1 here, where we unpack the risk of timing.  12.  In this episode of Integrity Through Compliance, Jesse Caplan, Dionne Lomax and Jim Anilot discuss “From Business Opportunities to Compliance Risks: Health Expectations in 2021”. Check it out here.  13.  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.  14.  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.  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, Eric Young joins Tom for a deep dive into the role of internal controls in a best practices compliance program.  16.  Special Treat-Grace Slick opens the Jefferson Airplane’s Woodstock set with “It’s a New Dawn.” 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

As Texas prepares for a wide open (and mask-free) Spring Break and St. Patty’s Day, Tom and Jay look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA.  Stories Increase in SEC penalties coming? Matt Kelly in Radical Compliance. Why don’t more employees speak up? Vera Cherepanova in the FCPA Blog. What happens when you have a regulartory sand box? Neil Hodge in Compliance Week. (sub req’d)   First DFS cyber breach resolution. Debevoise lawyers in NYU Compliance and Enforcement Blog. The continuing wreckage of the Solar Winds hack. Mike Volkov in Crime Corruption and Compliance. What is the state of your DEI program. Chai Feldblum and Emily Cuneo DeSmedt in Navex Global’s Risk and Compliance Matters Blog. Are you too old to be in compliance? Dick Cassin the FCPA Blog. DOJ ramps up FCPA enforcement fire power. Dylan Tokar in the WSJ Risk and Complaince Journal. Podcasts and Events 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. Microsoft joins the Compliance Podcast Network, with two podcasts, Voice of Data Protection and Uncovering Hidden Risks. In Episode 2 of Voices of Data Protection, Bhavanesh Rengarajan discusses information protection strategies. In Episode 2 of Uncovering Hidden Risks, Raman Kalyan Talhah Mir consider how to determine your next insider risk. Cordery Compliance joins the Compliance Podcast Network with its Cordery Head to Head podcast. In this episode, Jonathan Armstrong visits with Prof. Eric Sinrod as they look ahead at what 2021 might mean for the world of technology. Check it out here. Episode 4 of Integrity Through Compliance.This podcast will focus on the role of an independent monitor. You will hear from two of my AMI colleagues who are experts in corporate compliance and ethics, Senior Vice President, Eric Feldman and Managing Director, Mikhail Reider-Gordon who provide practical advice about the benefits of having an independent monitor. Check it out here. Join K2 Integrity's financial crimes risk and compliance experts on March 18 as they discuss the impact of ongoing developments in the financial integrity community. Topics will include: Regulatory trends and predictions for 2021 and beyond, Changes in the AML/CFT and ABC landscape, and Implications of evolving OFAC sanctions programs. Information and registration here. 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

Can you imagine creating a company so successful that 95% of Fortune 500 companies purchased your product? In today's episode, I interviewed Robert Tietjen who helped start a company called PolicyTech, which was the leading global provider of online policy and procedure management software. The company was acquired by NAVEX Global, where Rob served as the vice president of product planning and management.  NAVEX Global is now the largest ethics and compliance software and the largest policy and procedure software in the world. It had 95% of the Fortune 500 as clients. More than 350 higher education institutions are NAVEX clients. It has more than 13 thousand customers and more than 70 million employees are protected by NAVEX.  After NAVEX, Rob was president of Bitesize, a company that joins psychology, mentorship, and technology. Then, Rob co-founded and ran Camtiva, which provided hospitals with a safeguard against improper billing. He now teaches entrepreneurial leadership, management, and strategy at BYU-Idaho. Here are some successful strategies Rob used to grow his organizations:  Inc. 5000 PolicyTech, the company that Rob and his brother started, created a niche software, providing clients with online policy and procedure management. This type of software was not on a lot of people's radar, so it was initially hard to get the word out in a credible way. Rob and his brother decided to go to Inc. 5000 and pay for them to evaluate their software. It was worth it. PolicyTech was able to put the Inc. review on their website, and it helped increase credibility and sales. When our products or services don't have a natural place for people to review them we can find credible organizations such as Inc. 5000 to review them to give our company credibility.  Case Studies and References from Current Clients One of Rob's mentors told him to never give away anything. When a customer wants something like a customer discount, always be prepared to do a quid pro quo. Rob and his associates, when faced with a situation like this, would take some time to think about it and talk about it. Then they would come back to the customer and say, “Yes, we can do this if you do this for us.”  Many customers shared case studies with them. They told Rob how their service impacted their organization with new metrics and much more. Rob's company could then publish those case studies so other clients could see them. Many clients were also willing to be references that potential clients could call or visit and discuss how this service has worked for them. “People influence people. Nothing influences people more than a recommendation from a trusted friend. A trusted referral influences people more than the best broadcast message. A trusted referral is the holy grail of advertising.” -Mark Zuckerberg, CEO of Facebook Video Marketing When one of Rob's companies was doing their website development, analyzing their SEO, and conversion tracking, they found that most people don't go beyond the first page of the website until after they have decided to purchase the product or service. They discovered that it was best to have a simple video explaining their service and the "free trial" or the "buy now" button on the front page. For them, video was the best way to give a description of the service because theirs was kind of a complex service. Rob found that people will watch a video more willingly than they will read a block of text. Develop Good Lead Nurturing Strategies Rob's company nurtured a lot of leads since they had long sales cycles. According to the 2020 Lead Nurturing & Acceleration Benchmark Survey by Demand Gen Report, 49% of respondents stated that their lead nurturing strategies need improvement. Rob's company nurtured their leads by giving them something of value for free. This kept prospective clients interested. The product or service they gave was always related to the job to be done or the clients' issues. For example, they created an ebook series on how to manage policies and procedures, and each week they would send a portion of the ebook to potential clients. At the bottom of the email, they'd say, “If you're looking to solve even more problems with policy and procedure management, come look here,” where they'd be directed to the company. Rob feels this tactic is highly effective, especially for companies with longer sales cycles. Work Hard to Show Clients New Models are Trustworthy Nowadays, using a software as a service (SaaS) business model is fairly common and trusted. 73% of organizations indicated nearly all their apps will be SaaS by this year. When Rob first started PolicyTech, this model wasn't used a lot, and they had a hard time selling the model. They had to build trust with their clients and prove that the software would work for them. The company eventually told their clients that they could do this software-as-a-service model for a specific amount on an annual basis and that it would fit in the client's budget. When the clients came back saying they needed proof that the software was going to always be accessible when they needed it, the company had to prove that the software would be up 99.9% of the time and that it wasn't going to have issues. It was a costly enterprise, but it was worth it.  Dream Big When Rob was starting PolicyTech, later NAVEX Global, he had some big goals for the company. One goal was to get a large unnamed company as a client. Another was to receive an endorsement from the American Hospital Association. He also had a vision of NAVEX Global being the largest policy and procedure software in the world. The company accomplished all of these goals and more, growing to have 95% of the Fortune 500 as clients. According to a Goal Setting and Task Performance Study, 90% of people perform better when they have relevant and challenging goals. Retirement In our conversation, Rob and I spoke about retiring. Society tells us that the ultimate goal is to retire, but Rob feels this is a perpetual lie. Rob has become a college professor and has found a lot of happiness and fulfillment in it.  “There is so much more joy in adding value to other people's lives and building them up, more than puttering around the house and going golfing.” - Rob Tietjan Rob found out quickly that he didn't want to retire. He found joy in the stress, the work, and especially in the teaching. If we don't feel ready to retire, there shouldn't be any shame in it.  It doesn't have to be about the money either. A lot of people think that having money is associated with being greedy, but money is the rocket fuel that helps propel us to do the things that God wants us to do in our lives. It helps us take care of the things that really matter, such as our family, our health, and our faith. And for Rob, because he successfully monetized businesses, he's able to teach and make the social contribution that matters to him.  Key Takeaways Here are a few of the key takeaways that stood out to me from today's episode: Use credible organizations to review our products or services to build credibility. Make it easy for clients to find information and make purchases on our websites. Establish good lead nurturing strategies. Work hard to show our clients our companies are trustworthy. Try out opportunities that you aren't sure you'll love. You may enjoy them or at least learn something from them. Find good mentors along the way. They'll help guide you and give you great advice. Don't be afraid to dream big. If you don't want to retire yet you don't have to. Use your time to share what you've learned with others. Want to be a Better Digital Monetizer? Did you like today's episode? Then please follow these channels to receive free digital monetization content: Get a free Monetization Assessment of your business Follow the Monetization Nation Blog. Subscribe to the Monetization eMagazine. Join our private Monetization Nation Facebook Group. Subscribe to the Monetization Nation YouTube channel. Subscribe to the Monetization Nation podcast on Apple Podcast, Google Podcasts, Spotify, or Stitcher.  Connect with Nathan on Linkedin.  Follow Monetization Nation on Instagram.  Follow Monetization Nation on Twitter. Challenge If we desire monetization we have never before achieved, we must leverage strategies we have never before implemented. I challenge each of us to pick one thing that resonated with us from today's episode and implement it to help achieve our monetization goals. Share Your Story  What strategies can you share for growing a successful business? Please join our private Monetization Nation Facebook group and share your insights with other digital monetizers. Read at: https://www.monetizationnation.com/26-how-rob-tietjen-reached-95-of-the-fortune-500-as-paying-clients/  

Tom Brady cements his position as the GOAT of All Time with his Super Bowl win. Jay bemoans Tompa Bay using ‘his quarterback’ to win 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 is the state of the CCO in 2021? Mike Volkov takes a deep dive on the Crime Corruption and Compliance. Part 1-Looking Back and Looking Forward, Part 2-Troubling Trends, Part 3-a Coming Storm? What is the intersection of compliance, culture and covid? Calvin London explores in CCI. What comes next for ABC enforcement in Brazil? Sean Hecker, Marshall Miller, and Ana Frischtak in NYU’s Compliance and Enforcement 4 steps to building out a business continuity plan. Matt Kelly in Navex Global’s Risk and Compliance Matters. SEC reverts and allows more to do investigations. Aaron Nicodemus in Compliance Week. (sub req’d) Wirecard red flags missed. Dylan Tokar interviews former Wirecard CCO/CEO in the WSJ Risk and Compliance Journal. Retrieving WhatsApp messaging for an internal investigation. Andrew Reeves and David Harris asks in the FCPA Blog. The virtual Boardroom. Andrew Lepczyk and Barton Edgerton on the Harvard Law School Forum on Corporate Goverance. On The Compliance Life, Natalia Shehadeh, CCO at ABB joins me this month. In the first episode, Natalia explained why she choose the compliance profession. Check out the Episode 1. In Episode 2, Natalia talks about her professional jouney to the CCO chair, from Capitol Hill to Big Law to corporations. 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. Episode 2 posted Monday, February 8 and featured Parth Chanda, the Skywalker of Compliance. 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 a new video podcast (PodTube) on YouTube. The Compliance Handbook, a podcast 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. 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 the Episode 1, AMI founder Vin DiCianni visits with AMI MD Jerry Coyne the future of telehealth & home healthcare during a pandemic and beyond. 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. Interested in podcasting? Want to be a part of a Guiness World Record attempt? PodFest Global Summit is a gathering for those who are passionate about sharing their voice and message with the world through audio and video. Join Tom and others at Podfest Global Summit at any time during March 1-5. Best all of listeners to this podcast can attend at no charge. Register here, using promo code CPN. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions. 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 Trump becomes the only person to have 2 impeachment trials, Tom and Jay are back to look at some of the top compliance articles and stories which caught their eye this week.  Beny Steinmetz found guilty for corruption in Guinea mining concession. Imogen Foulkes in the com. Tom take a deep dive on the FCPA Compliance and Ethics Blog. Part 1-Background, Part 2-the Trial, Part 3-the Vale JV, Part 4-Final Thoughts. Do compliance officers need a peer review? Dick Cassin explores in the FCPA Blog. Should you have reps and warranties in your compliance terms and conditions? Bill Steinman considers in the FCPA Blog. 7 key changes to CA privacy laws. Andrew Burt in Navex Global’s Risk and Compliance Matters. A Significant ruling on HIPPA out of the 5th David Saunders and Allison Glover in NYU’s Compliance and Enforcement. Is an increase in SEC enforcement coming? Morgan Lewis lawyers in Harvard Law School Forum on Corporate Goverance. Why is FCA compliance so critical? Mike Debernardis in CCI. How to investigate a 60MM document case? Michael Dempsey in the BBC. On The Compliance Life, Gwen Hassan- Director of Compliance at CNH Industrial is back for her fourth and final episode. In it, Gwen explains her passion around fighting the international scrourge of human trafficking. 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 23 | Assessing compliance internal controls; Day 24 | Updates and feedback; Day 25 | CCO authority and independence; Day 26 | the role of compliance in an organization; Day 27 | operationalizing compliance though payroll; Day 28 | Continuous Improvement; Day 29 | Internal Reporting. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. 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. 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 TrumpLand continues to live in fantasy and denial, we are on the 50-day countdown to the Biden Inauguration. Tom and Jay are back after the Thanksgiving holiday to look at some of the top compliance articles and stories which caught their eye this week.  Are compliance certifications worth it? Jeff Kaplan thinks so and says so in the FCPA Blog. Does Zoom portend more FTC enforcement actions? Matt Kelly thinks so in Radical Compliance. More issues in domestic corruption for pharma? Mike Volkov takes a look in Corruption Crime and Compliance. Avoiding COIs during the holidays. Rick Burt in Navex Global’s Risk and Compliance Matters. Did France make U-turn on corporate liability? Lawyers from Debevoise explore in NYU’s Compliance and Enforcement Journal. Swiss begin SBM Offshore corruption investigation? Jaclyn Jaeger in Compliance Week. (sub req’d) What is the scope of the FCPA Internal Controls provisions? Lawyers from Shearman & Sterling discuss in JDSupra. How can a Board of Directors use data? James Howard in the Harvard Law School Forum on Corporate Governance. A new month is here and a new guest on The Compliance Life. Kim Yapchai, Chief Counsel - Environmental, Social & Governance at Tenneco Inc. In this week’s first episode we consider Kim’s undergraduate degree in economics and how this informed her decisions which led her down the path to the CCO chair. Check out the series here. My podcast with Mikhail Reider-Gordon on Wirecard was so popular we spun it out into its own series, The Wirecard Saga. Check out the latest episodes here. On 31 Days to a More Effective Compliance Program, we consider Training and Communications. Tuesday- Introduction to Training and Communications.Wednesday- Social media is a 360-degree communication strategy; Thursday-Using social media to innovate in compliance; Friday- the D&B experience with social media and 360 degrees of communications. 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.  Learn more about your ad choices. Visit megaphone.fm/adchoices

As the (non-cheating) Houston Astros to attempt to return to the World Series, Tom and Jay are back to look at top compliance articles and stories which caught their eye this week.  J&F Investments settles FCPA criminal case. Harry Cassin (as usual) breaks the story in FCPA Blog. Why third-party due diligence is an ongoing exercise. Mike Volkov in Corruption Crime and Compliance. Jim Nortz takes a deep dive into 3rd party risk management in Part 1 of a six-part series on CCI. Citigroup spanked for $400MM by OCC and the Fed. Matt Kelly with a double dive on Radical Compliance (Part 1 & Part 2). Matt and Tom take a deep dive on Compliance into the Weeds. Ephemeral messaging frowned upon by SEC. Jonathan Marks in Board and Fraud. The WEF’s ESG reporting now includes anti-corruption metrics. Worth MacMurray and Elaine Dezenski in the FCPA Blog. Supply Chains under more scrutiny. Vera Cherepanova in Navex Global’s Risk and Compliance Matters. Some open-door tales. Richard Leisner with a guest post on the D&O Diary. Do the FinCen Papers show we need an AM whistleblower protection program? Hamsa Mahendranathan in NYU Compliance and Enforcement Blog. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, we continue our exploration of compliance for Business Ventures. Monday-Safe Harbor in M&A; Tuesday-Pre-acquisition DD, the business perspective (with special guest Vin DiCianni); Wednesday- Pre-acquisition risk assessment; Thursday- Pre-acquisition due diligence; Friday-Integrating post acquisition (with special guest Eric Feldman). 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 Tom and Sam Silverstein for an Executive Forum on Ethics and Accountability on October 28, 2020 12-1 PM CT. Check at the agenda and register here. Join Tom, Holly Sais Phillippi, Head of Americas Risk Sales, Refinitiv and Kelly M. Slavitt in a Refinitiv sponsored webinar, The Future of Due Diligence: Third-Party Risk in the Era of COVID-19, Tuesday, October 27, 1-2 PM CT. Check at the agenda and register here. Check out the Navex Next 9th Annual Risk & Compliance Virtual Conference event Beyond the Moment October 22 from 10 AM to 4 PM. 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

In this podcast, I am joined I am joined by Carrie Penman, Chief Risk and Compliance Officer at NAVEX Global, Inc. We visit about their upcoming 2020 virtual conference, NAVEX Next, which is entitled Beyond the Moment.  The theme, Beyond the Moment, defines the 2020 agenda and supports sessions that will help you and your organization move past a defensive stance on current events and trends. The goal is to help everyone be proactive and more holistic in their approach to risk and compliance management. If there is one key message that I have garnered in talking to compliance and other professionals about Coronavirus is that the future demands we be prepared, no matter what comes next. What are some of the key themes for this conference? Obviously the Coivd-19 lockdowns, work from home and remote working environments have changed a large number of risk factors that every Chief Compliance Officer (CCO) needs to consider from a risk perspective and address from a variety of angles; such as data privacy/protection, communications and training and ongoing engagement. Last year, NAVEX’s virtual conference had over 9,000 registrants. Best of all is the cost of the conference, its FREE. That is right, all of the above is available at no charge. NAVEX Global has submitted the conference to the Compliance Certification Board (CCB)® and is pending their review for approval of CCB CEUs. It will be held Thursday, October 22, from 10 AM to 4 PM Central Time. I hope that you will plan to join me for this great event. Registration, agenda and other information are available here. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode, we talk about one of the more challenging aspects of regulatory compliance - measuring return on investment. Important elements of an effective compliance program include confidential reporting and investigations. Today we speak to two subject matter experts on confidential reporting, Carrie Penman, Chief Compliance Officer of NAVEX Global, a widely noted compliance luminary and Kyle Welch, Assistant Professor, George Washington University’s School of Business. Carrie and Kyle have collaborated on several studies on how to measure the return on investment of compliance hotlines. Join us to hear about what you can do to help your measurements.

We discuss the following topics: What are the key things that companies should be focusing on as they reassess their risk management and compliance programs right now during the COVID-19  pandemic? Learn more about  Stronger Together a very comprehensive free tool kit for risk and compliance managers related to COVID-19 containment that will help them stay the course during this time.  Compliance Next is a platform that we're using for a long time and it's a community of people that are interested in the risk and compliance and ethics world. Compliance Next has got a lot of rich selection of content up there which is available for people to use as they need.   

There are several steadfast qualities that make a great leader. Are those traits inherent in a leader, or are they learned? The answer: both. FMF guest-host Katie Bullard, had the chance to discuss the qualities of a great leader with NAVEX Global's CEO Bob Conlin. In this episode, we cover the top qualities of a great CEO, aligning with the long-term goals of your company, and more. ----------- Join me for weekly special LinkedInLive sessions where I interview your favorite guests like Pat Lencioni, Seth Godin, Whitney Johnson, and Kim Scott — LIVE. Here's the one-click invite: https://evt.mx/mSGV4Ka8

As the Trump Administration backtracks from its avowed goal to destroy the USPS, Tom and Jay brave the surge in Covid cases by staying safe at home. They are back to look at top compliance articles and stories which caught their eye this week.  1.     First DOJ Opinion Release in 6 years. What is the significance? Tom explains it all in the FCPA Compliance and Ethics Blog.  2.     FCPA enforcement action involving international adoptions. Harry Cassin in the FCPA Blog. 3.     Bank/government partnership to fight financial crime.  Dylan Tokar in WSJ Risk and Compliance Journal.  4.     Once a cheater, always a cheater? Daimler pays $2bn fine. Aaron Nicodemus in Compliance Week(sub req’d) 5.     At the one year anniversary of the Business Roundtable’s Statement on the Purpose of a Corporation, Mike Volkov reviews Board performance in a 4-part series on Corruption, Crime and Compliance. Part 1, Accountability. Part 2, diversity. Part 3, challenges for Board decision-making.  Part 4, steps to advance corp governance.  6.     Is ‘Failure to Prevent’ the next big crime in the UK? Cordery Compliance alert.  7.     When can you use a corruption defense in litigation?  VE lawyers in the State Bar of Texas Int’l Law Journal. 8.     Does the McDonald’s suit against its former CEO implicate D&O coverage? Kevin LaCroix opines in the D&O Diary.  9.     This month on The Compliance Life, I am joined by Louis Sapirman. In Part 1, we looked at Louis personal and professional journey into compliance.  In Part 2, we discussed the qualities of a successful CCO. In this week’s Part 3, communication as a driver of compliance.  10.  On Compliance and Coronavirus we had a week of AMI. Tuesday had Eric Feldman discussing culture and compliance during Covid-19, Vin DiCianni on using compliance ambassadors during Covid; and Deb Waugh on challenges in the health care profession.  11.  On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, this month focuses on the role of the Board in compliance. This week saw the following offerings: Monday-what leads to a successful BOD investigation; Tuesday- Board metrics for compliance;Wednesday-BOD failures with special guest Vin Dicianni; Thursday- BOD & doing business in China; and Friday-the Board’s role in hiring. The month of August 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.   12.  Join Jay and Tom at Converge20. Convercent’s top compliance conference is going virtual this year. Check at the agenda and register here.  13.  Join Tom and Vince Walden (host of The Walden Pond) for a webinar on the ROI of Compliance, Tuesday August 25, 10 AM CT. Registration and Information here.  14.  Join Tom and AMI’s Don Stern for a review of the 2020 Update to the Evaluation of Corporate Compliance Programs as a part of Navex Global’s quarterly MasterClass on Thursday, August 27. Information and registration here.  15.  Join K2 Intelligence FIN’s Bernard Factor for a webinar entitled “Examining the Nuances of Correspondent Banking to Address BSA/AML Compliance Risk”. Registation and Information here.  16.  Join Tom next week on the FCPA Compliance Report, as he leads up to the 500th episode. All next week some of the top commentators in compliance will join Tom to discuss some of the top developments in compliance over the past 8 year. It is all leading up to the 500th anniversary episode which will run Monday, August 31.  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 brave the surge in Covid cases by staying safe at home. They are back to look at top compliance articles and stories which caught their eye this week.  World Acceptance bribed with bags of cash. Mike Volkov in Crime Corruption & Compliance. Implications from the end of Privacy Shield. Lawyers from Debevoise & Plimpton in NYU’s Compliance and Enforcement blog. NRA shoots itself in foot over non-compliance? Kyle Brausser in Compliance Week. (sub req’d) Using lessons learned. Jeff Kaplan and Rebecca Walker in CCI. Dick Cassin asks ‘are agents ever legal under the FCPA?’ in the FCPA Blog. Applying 2020 Updates to anti-trust compliance. Matt Kelly writing in Navex Global’s Ethics and Compliance Matters. What is a metric’s inventory and why do you need one? Tom explains in the FCPA Complaince and Ethics Blog. Follow on corruption litigation is expensive. Kevin LaCroix in the D&O Diary. This month on The Compliance Life, I am joined by Louis Sapirman. In Part 1, we looked at Louis personal and professional journey into compliance. In this week’s Part 2, we discussed the qualities of a successful CCO. On Compliance and Coronavirus this week, we had John Fanning discusses the increased need for due diligence during Covid-19, Andy Goldstrom on compliance adaptations during Covid; and Jed Gardner on business as usual. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, this month focuses on the role of the Board in compliance. This week saw the following offerings: Monday-BOD’s inquiring up and down; Tuesday- the BOD’s role in internal controls; Wednesday-BOD as an internal control; Thursday- BOD governance and risk oversight; and Friday-what is your Board’s investigative protocol. The month of August 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.  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

How does Fahrenheit 451 foretell non-compliance regulation in Germany? Tom and Jay brave the surge in Covid cases by staying safe at home to tell the tale. They are back to look at top compliance articles and stories which caught their eye this week. OFAC focusing on screening errors. Mike Volkov with a 3-part series on Corruption Crime and Compliance. Part 1, Part 2 and Part 3 There is no single panacea for stopping corruption. Matthew Stephenson in GAB. 5 top steps for data transfer after Schrems III. Neil Hodge in Compliance Week. (sub req’d) What’s the cost of non-compliance? For Wells Fargo, a staggering $15.8 Billion. Matt Kelly explores on Radical Compliance. Fahrenheit 451, compliance and German regulators? Rosemary Lark considers in the FCPA Blog. Coronavirus Comeback planner. Navex Global’s Ethics and Compliance Matters. A compliance approach to excessive force in policing. Joseph Murphy and Emil Moschella in NYU’s Compliance and Enforcement Crisis preparedness and the BOD? Joydip Day explores in CCI. This month on The Compliance Life, I am joined by Louis Sapirman. In Part 1, we looked at Louis personal and professional journey into compliance. AMI week on Compliance and Coronavirus as Maurice Gilbert discusses the compliance hiring scene Covid-19, Andy Goldstrom on business sustainability; and Laura Petrolino on storytelling for communications. On the Compliance Podcast Network, Tom begins a new month on 31 Days to a More Effective Compliance Program, this month focusing on the role of the Board in compliance. This week saw the following offerings: Monday-legal obligations of the BOD; Tuesday- prudent discharge of BOD obligations; Wednesday-BOD Compliance Committees; Thursday- OIG guidance for BODs; and Friday-Compliance expertise on the BOD. 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.  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

Welcome to the newest addition to the Compliance Podcast Network, Compliance and Coronavirus. In this episode, I visit Sam Abadir, Director of Industry Solutions at Navex Global and Carrie Penman, Chief Risk and Compliance Officer at Navex Global. They recently co-authored the article 6 Tips to Go From Disaster Recovery to Business Continuity Planning. I recently caught up with them to ask them about their article and how companies can better plan for identifying risks that can lead to disasters.  Some of the highlights include: What is the difference in disaster recovery v. business continuity? Why is that important in this phase of the reopening? What are six ways companies can shift to from planning for when a disaster strikes to identifying risks that can lead to disasters? For me information and great articles check out Navex Global’s Risk and Compliance Matters

As President Trump allows Russia to pay bounties for the Taliban to kill American soldiers, self-isolating (again) Jay and Tom have a special Thursday July 4th edition to look at top compliance articles and stories which caught their eye this week.  The Novartis FCPA settlement. Tom has a 5 part series Part 1-Introduction, Part 2-the Bribery Schemes,Part 3-Internal Controls, Part 4-Fines, Penalties and Recidivism; Part 5-Data Analytics. Matt Kelly with Radical Compliance. Mike Volkov has a 3 part series on Corruption Crime and Compliance. Matt and Tom take a deep dive on Compliance into the Weeds. After all this Novatris pays another $678MM for corruption inside the US, see DOJ Press Release. Why you need a plan for distributors under the FCPA. Bill Steinman opines in the FCPA Blog. Alexion settles FCPA enforcement action. Dick Cassin breaks the story in the FCPA Blog. Banks facing increased compliance risks. Mengqi Sun in the WSJ Risk and Compliance Journal. The DOJ 2020 Update to the Evaluation of Corporate Compliance Programs with a new emphasis on middle management. Dylan Tokar and Jack Hegal in the WSJ Risk and Compliance Journal. How badly did EY botch the Wirecard audit? Michael Rapaport guest posts on Francine McKenna’s The Dig. CCPA went live on July 1. Were you ready? Jessica Wilburn on Navex Global’s Ethics Matters. What is the role of compliance in the future of work? Neta Meidav in CCI. On Compliance and Coronavirus, I was joined this week by Ryan Schonfeld to discuss IT and physical security in the era of Coronavirus; Cindy Flynn on employment law issues and Bill Sanderson business change in the era of Covid-19. On the Compliance Podcast Network, Tom concluded his one month look at the role of HR in compliance on 31 Days to a More Effective Compliance Program and started a new month of looking at 3rdThis week saw the following offerings: Monday-the parameters of attorney/client privilege; Tuesday-Miranda warnings in internal investigations. On July 1, the new month brought the new topic of 3rd party risk management. Wednesday-the 3rdParty risk management process; Thursday-the business rationale. 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. 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 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

As Gronk ends his self-imposed isolation from the Pats to rejoin the Golden Boy in Tampa Bay, self-distancing Tom and Jay are back to consider some of the top compliance articles and stories which caught their collective eye this week. For the SEC drops a Friday Happy Hour FCPA enforcement action involving ENI. Matt Kelly breaks the story in Radical Compliance. Tom provides lessons learned in the FCPA Compliance and Ethics Blog. Tom and Matt take a deep dive in their podcast Compliance into the Weeds. Harry Cassin in the FCPA Blog. Dylan Tokar reports in the WSK Risk and Compliance Journal. Tenacious whistleblower awarded $27MM. Kevin LaCroix in the D&O Diary. Some post COVID-19 scenarios. Gemma Aiolfi explores in the FCPA Blog. Leaders, dirty hands and COVID-19. Muel Kaptien in Risk and Compliance Platform Europe. Data and security requirements are here to stay. William Schildknecht in NYU’s Compliance and Enforcement Blog. Why companies should leave compliance alone. Jenna Voss, Christina Arianna and Chase Goldstein In CCI. EY takes a brand beating. Martin Woods in Compliance Week. (Sub Req’d) Where was, and is, and will be your Board? Carrie Penman asks in Navex Global’s Ethics and Compliance Matters Can the government forgfeit a defense lawyers fees? Sara Kropf explores in Part 2 on Grand Jury Target. On Compliance and Coronavirus this week: Fizza Khan on financial regulation during COVID-19; Gordon Firemark on force majeure; Sundar Narayanan on a CCO using empathy during the coronavirus crisis. On the Compliance Podcast Network, Tom continues his month of exploring continuous improvement, all on 31 Days to a More Effective Compliance Program. This week saw the following offerings:Monday-keeping track of current events for continuous improvement; Tuesday-big data and continuous improvement; Wednesday-using big data; Thursday-measuring the effectiveness of a compliance program; Friday-Proactive monitoring for 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

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 podcast Matt Kelly and Tom Fox take a deep dive into the hotline benchmark report from Navex Global which was previewed on a recent webinar Matt attended. Some of the data was quite interesting and perhaps even troubling. Some of the highlights include: Case closure times are longer this year. Why are they lengthening? The five top categories of cases reported. Reports via online reporting v. telephone call nearly doubled. Reports of violations of business integrity violations are on the uptick. The #MeToo movement is over two years old, what do the numbers reveal? Resources Matt Kelly blog post, Report: Hotline Cases Taking More Time Learn more about your ad choices. Visit megaphone.fm/adchoices

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

As the blowback on the Astros, MLB, Commisioner Rob Manfred continues to get worse, Jay and Tom are back to consider some of the top compliance articles and stories which caught our eye this week.  1.     Airbus still making news. Asher Miller provides 5 key takeaways for the compliance practitioner in the FCPA Blog. Dylan Tokar reports on more follow on investigations in the WSJ Risk & Compliance Journal. Joanne Taylor joins Tom on the FCPA Compliance Report to consider the UK perspective. Tom considers the French enforcement perspective in the FCPA Compliance and Ethics Blog. 2.     Another sentencing in the PdVSA ongoing bribery scandal. See the DOJ Press Release. 3.     What are WOW moments in compliance? Geert Vermeulen begins a 5-part series in Risk and Compliance Platform Europe.  4.     How do compliance officers show their worth? Dick Cassin explain in the FCPA Blog.  5.     Is it time to rebalance your 3rd party risk management strategy? Mike Volkov reports in Corruption Crime and Compliance. Mike writes about the importance of classifying your 3rd parties in Navex Global’s Ethics & Compliance Matters blog.  6.     Is the tide turning against whistleblowers? Aaron Nicodemus explores in Compliance Week. (sub req’d) 7.     Civil damages for corruption claims? Rick Messick considers on the Global Anti-Corruption Blog. 8.     New round of Alstom employee indictments. Dick Cassin reports in the FCPA Blog.   9.     What is a moral hazard moment? Jeff Kaplan explains on the Conflict of Interest blog.  10.  On the Compliance Podcast Network, Tom begins a one month look at the role of HR in compliance on 31 Days to a More Effective Compliance Program.This week saw the following offerings: Monday-succession planning and compliance; Tuesday-compliance performance appraisal review; Wednesday-Hiring a CCO: developing a job profile; Thursday-sales incentives and compliance; Friday-the exit interview. 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.  11.  Join Tom to watch Jay on the panel with other compliance experts in the Dow Jones Refining Compliance Risk event in Hosuton on Tuesday, February 25 from 10 AM to 12 PM. For information and registration click here.   12.  Join Tom in NYC on Thursday, March 12 as Convercent is hosting an Innovation Forum from 3:30-7 PM at Sabrina. This event will allow you to network with like-minded individuals within the ethics and compliance space and hear from Thomas Fox and Philip Winterburn as well. For more information and registration click 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 Jim Crane apologizes for the Astro cheating by announcing to the world the Astros were the best team in 2017 so go pound sand if you don’t like it, Jay and Tom are back to consider some of the top compliance articles and stories which caught our eye this week.  1.     Trump orders DOJ to cut Roger Stone sentence recommendation. Eileen Sullivan in the NYT. Sara Kropf considers the legal angle for defense attorney’s in Grand Jury Target.   2.     Is data privacy a lifestyle? Jessica Wilburn explores in Navex Global’s Ethics and Culture Matters blog.  3.     Compliance budgets are getting tighter. Matt Kelly considers in Radical Compliance. Tom and Matt take a deep dive in Compliance into the Weeds.  4.     Britain and France’s cooperation in the Airubs investigation and enforcement action. Branislav Hock in Risk and Compliance. 5.     Game changes in compliance training. Jaclyn Jaeger in Compliance Week. (sub req’d) 6.     What is the power of proactive monitoring? Jay explores in CCI. 7.     Worried about CCO liability? Matt Kelly explores on Radical Compliance. 8.     Wistful thinking that FCPA enforcement going away. Bill Steinman in the FCPA Blog.   9.     Why Board governance around compliance must change. Mike Volkov on Corruption Crime and Compliance.  10.  On the Compliance Podcast Network, Tom begins a one month look at the role of HR in compliance on 31 Days to a More Effective Compliance Program.This week saw the following offerings: Monday-6 core principles for compliance incentives; Tuesday-designing comp to incentivize compliance; Wednesday-exec comp and compliance incentives; Thursday-sales incentives and compliance;  Friday-instituional justice and fair process. 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.  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

Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley. In episode 49, Mary Shirley, speaks with Carrie Penman, Chief Compliance Officer at Navex Global. They visit about the convergence of compliance risk and operational risk. Once referred to by Matt Kelly as a “national treasure”, the GWIC team is pleased to feature Carrie Penman, Chief Risk and Compliance Officer of Navex Global in episode 49. Mary speaks with Carrie about the convergence of operational and compliance risk, what it’s like being a Compliance professional at a Compliance vendor as opposed to in-house in other industries and Carrie shares two of her favorite success stories with us – because GWIC believe it’s important to celebrate in the successes of other women.  Of course, we would be remiss not to tap into Carrie’s insider insights as a specialist within the world of reporting hotlines. So we ask her for a behind the scenes peak as to her thoughts on the common pitfalls companies make when rolling out reporting mechanisms and how to best troubleshoot these issues. We spend time discussing what companies can do to make their hotline a success, including concerted efforts to re-vamp your reporting line communications campaign and why it’s important to re-visit it, as well as the difficult topic of Compliance Officers sometimes being the most reluctant to speak up. Mary wraps up the episode by sharing a simple tip for positively drawing attention to your achievements by inserting favorable adverbs when mentioning your work – something that studies show men are typically much better at than their female counterparts, so let’s level the playing field by putting the advice into action! It's an episode packed with high value content and as always, Carrie Penman is a crowd pleaser. Join the Great Women in Compliance community on LinkedIn here.

Global companies face extraordinary risks through their reliance on third-party agents, distributors, consultants and vendors/suppliers.  Federal prosecutors and regulators have had a record year in FCPA and sanctions enforcement.  To mitigate these risks, global companies are quickly adopting automated platforms to manage their third-party risks.  NAVEX Global is at the forefront of this effort through its RiskRate automated platform. Chris Bailey, Product Manager, NAVEX Global, RiskRate Manager, and Stephen Gooding, Senior Director, Sales Specialist, NAVEX Global RiskRate, join Michael Volkov to discuss current third-party risk trends and developments, including common issues that need to be addressed.  Chris and Stephen have several years experience working with companies to develop and implement efficient solutions to the third-party risk issue.      

SEC Chair Jay Clayton is reduced to having a PR firm create fake investor letters to support a SEC rule change. The Astros cheating scandal gets worse. As Tom worries MLB might take away his replica World Series Championship Trophy and Jay consoles him about when a team cheats and wins, they turn to some other of this week’s top compliance and ethics stories which caught their collective eyes.  1.     Using the same defense as Hoskins, Boustani admits bribery and corruption in Mozambique Tuna Boat case. Will it work out any better for him? Law360.  2.     SEC whistleblower tips go down for the first time. Kristen Broughton reports. Kevin LaCroix sees it otherwise.  3.     Jay Clayton gins up fake written comments to support regulation change. Zachary Mider and Ben Elgin report. 4.     Former Keppel Offshore lawyer sentenced to time served. Dick Cassin reports.  5.     Why punishing the bribe takers is equally important as punishing the bribe payors? Matthew Stephenson explains it all.    6.     Does an aggressive position in a Wells submission hurt a company in a SEC enforcement action? Lawyers from Simpson Thatcher explore.  7.     What is ‘enforcement fatigue’ and how did Alstom overcome it? Dylan Tokar reports.  8.     Dept. of Treasury bringing more sanctions cases against shipping companies. Kristin Broughton reports.  9.     What will risk and compliance look like in 2020? David Banks considers.  10.  How does M&A benefit from an independent assessment? Jay continues his series.  11.  What are the implications of Gen Z on the front lines of compliance? Gaurov Kapoor explores.  12.  Recent FCPA enforcement actions shows the SEC will use FCPA Accounting Provisions to hold a company liable for ineffective AML controls. Clay Porter. 13.  Navex’s Loren Johnson joins the podcast to talk about Navex Global’s 2020 Benchmarking Survey.  You can participate in Navex Global’s annual survey by clicking 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. 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

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 and I go into the weeds on a recent academic paper by Stubben and Welch entitled, Are Secondhand Whistleblowing Reports More Credible. The authors reviewed data from the Navex Global data base of 2 million whistleblower reports from more than 1,000 companies from 2004 through 2017. Their findings have significant implications for CCO, GCs and Boards of Directors. Some of the highlights include: Why is this the first international podcast of Compliance Into the Weeds? What are the key differences between a first-hand whistleblower report and a secondhand report? Why are over 47% more second-hand reports substantiated than first-hand reports? Why do first-hand reports tend to be about actions against a person and secondhand reports be about things which happened to the organization? What are the implications for triage/investigations of first and secondhand reports? Is confirmation bias at work here? For additional reading see the following: Matt’s blog post, Study-Second Hand Reports More Reliable, on Radical Compliance. Stubben and Welch, Are Secondhand Internal Whistleblowing Reports Credible? Learn more about your ad choices. Visit megaphone.fm/adchoices

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”. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of the Expert Perspectives podcast, sponsored by ID Experts and hosted on BenefitsPRO, we’ll hear highlights from the August 13th presentation titled, How to Engage Employees of All Ages in Today’s Digital Landscape.  In addition to traditional health care and retirement offerings, modern benefits plans must help employers and employees address a variety of new challenges, including data protection and other difficulties presented by today’s digital landscape. Moreover, understanding the increasingly multi-generational workforce, their differing needs and how to create employee benefits strategies that suit this diversity is critical.   Cheryl Morrison Deutsch, Chief Experience Officer at Zillion, Bo Armstrong, Chief Marketing Officer at DataPath and Jonathan Boston, Senior Vice President, Global Sales at ID Experts explain how you can differentiate your offerings and appeal to today’s digitally savvy consumers.     The full on-demand webcast can be found here: https://www.benefitspro.com/2019/07/21/how-to-engage-employees-of-all-ages-in-todays-digital-landscape/   Cheryl Morrison Deutsch | Chief Experience Officer (CXO) | Zillion   Cheryl Morrison Deutsch is the Chief Experience Officer at Zillion, a leading health behavior modification company, where she leads the strategy, planning, and execution of the Zillion experience for customers, members, and employees across the digital health programs on the platform. She has nearly three decades of experience in optimizing internal operations through the development and implementation of activities designed to accelerate change, specifically in the healthcare sector. Bo Armstrong | Chief Marketing Officer | DataPath   Bo Armstrong is a national conference speaker and author of numerous white papers and articles on the health care benefits industry. As DataPath’s Chief Marketing Officer, Bo focuses on identifying emerging market trends within the benefits industry and advocating for customers and their needs within DataPath. DataPath, Inc. creates cloud-based technology solutions for FSA, HRA, and HSA administration. The company also created the award-winning employee education and engagement program, The Adventures of Captain Contributor. Jonathan Boston | Senior Vice President, Global Sales | ID Experts   Jonathan brings more than two decades of sales leadership to his role as the Senior VP of Global Sales at ID Experts. Jonathan’s focus has been in driving the dramatic growth of ID Experts’ employee benefits business, as well their industry leading data breach response business unit. Prior to joining ID Experts, he was vice president of sales at NAVEX Global, governance, risk and compliance software and services provider to more than 12,500 organizations globally. Before joining NAVEX Global, Jonathan was the director of North American Sales at global software company, Sage Software.

There are several steadfast qualities that make a great leader. Are those traits inherent in a leader, or are they learned? The answer: both. FMF guest-host for #TakeoverTuesday, Katie Bullard, had the chance to discuss the qualities of a great leader with NAVEX Global's CEO Bob Conlin. In this episode, we cover the top qualities of a great CEO, aligning with the long-term goals of your company, and more. Call me crazy but here's what I am doing - Text ABMisB2B to 33777 to receive a copy of Sangram's newest book. This is gift to YOU as a listener for a limited time! All I ask is for a review of the book on Amazon when you are done reading. Deal?

The Astros hit a home run on the last minute of the trading deadline by obtaining Zack Greinke and Jay asks just how insufferable Tom will be until the Astros win the World Series again (Hint: Very). While Tom gloats, he and Jay turn their collective eyes to some of this week’s top compliance and ethics stories. 1.    Third parties are still the highest FCPA risk. So why are you still using them? Alexandra Gillies explores. 2.    How to manage high-risk distributors? Mike Volkov with a 2 part series.3.    What is conspicuous integrity in the corporate setting? Shirin Ahlhauser explains. 4.    What is cognitive governance? James Bone begins a 5-part series. 5.    What is present responsibility and how does it related to debarment? Jay explains. 6.     What are the disclosure and notification requirements when managing a crisis? Lawyers from Cleary Gottlieb explain. 7.    Wonder if ethics and compliance still matter? Four Wachtel Lippon lawyers explain. 8.    Why do you need social media compliance as part of your ethics and compliance program. John Horowitz tells us in Navex Global’s Ethics and Compliance Matterblog. 9.    Why the identification of high risk employees is critical. Jeff Kaplan explains. 10. Comings and goings in the DOJ Fraud Section. Dylan Tokar reports. 11.  Our colleague Doug Cornelis participates in the annual 2-day, 192 mile Pan-Mass Bike Challenge which raises money for the fight against cancer. I hope you will join my again in supporting Doug by donating to PMC. Information on Doug’s ride, why he rides and donation button are all 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. 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

By Adam Turteltaub adam.turteltaub@corporatecompliance.org Helplines are ubiquitous these days, but do they help?  Recent research co-authored by Kyle Welch, an Assistant Professor of Accountancy at George Washington University’s business school, is very promising.  As he explains in this podcast, his research, which used data helpline provider NAVEX Global, found that firm that have active helplines generally have higher quality corporate governance and earning reports. Some may find this counterintuitive, thinking that more calls are a sign of trouble.  Instead, his research revealed, it is more probably a sign of a healthy work environment and business. Listen in to hear more of his data, and to help make the business case for investing in compliance and ethics.  Also, be sure to download a copy of his research.

Is there still a place for good manners in today’s ruthless business world? Joining us today is Carrie Penman, the Chief Compliance Officer and Senior Vice President Advisory Services at NAVEX Global. She wrote an article entitled, The Cost of Incivility in the Workplace, and today we’re talking about why manners matter. Why the article: So many people don’t have a good understanding of the fact that how you say something is as — or more — important than what you say. Think about what it’s like to be on the receiving end of the message you have to deliver. How would you want that to be said to you? Rude, abusive, and harassing bullying behavior has been costing organizations big time for decades in terms of decreased productivity, lost top talent, loss of innovation, lower quality customer service, and more. Many of the reports that ethics and compliance officers receive over their hotlines are related to HR matters, and can lead to serious compliance violations. The Era of the Jerk Manager is Over: It was once accepted and expected that it was okay for the boss to be a jerk. These days, it’s become a lot less acceptable. The course of our discourse and the political environment has raised the issue for so many people and the expectations of employees have changed. Jerk behavior is so toxic to our cultures, organizations, and our ability to succeed. Committing to corporate values: Organizations have always had a set of core values, but the key is to commit to these values for them to have credibility. Is your organization living your core values in all aspects of your work? Are they enforced at all levels, i.e. no special rules for special people? The only way for this to work is for organizations to recognize and discipline for inappropriate behavior, because if those behaviors are accepted, it drives cynicism. Carrie shares a company’s litmus test for their values: can you hire and fire by them? We are all accountable: Employees may legitimately have a question or complaint about an interaction or a request from a manager, but it doesn’t give anybody the right to be rude or be a jerk. It’s basic human civility. Two wrongs don’t make a right: if the boss is being a jerk, that doesn’t mean the employee gets to be a jerk, too. We need to be accountable for our own behavior. Be present professionally and personally. It all comes down to respect. Resources: Carrie Penman | The Cost of Incivility in the Workplace | Top 10 Ethics & Compliance Trends for 2019 | The Era of the Jerk Manager is Over Learn more about your ad choices. Visit megaphone.fm/adchoices

"Even if you get knocked on your face...you're still going to be okay." In the 158th episode of Keep Moving Forward I interview Account Executive at Navex Global, former Georgia Institute of Technology ice hockey player, and the best big brother a girl could have, Nick Galli. For more on Nick, follow him on Facebook, Instagram, LinkedIn, and Twitter. To stay up to date on all things coming out of the Keep Moving Forward Creator’s Studio, head on over to http://keepmovingforward.us/ and subscribe to our newsletter. Always remember, you can beat the odds and go the distance, if only you keep moving forward.

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. Learn more about your ad choices. Visit megaphone.fm/adchoices

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. 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

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

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 recent imbroglio involving (at least as of now) current Governor of Virginia, Ralph Northam and the pictures involving Northam in blackface and KKK robes.    Some of the highlights include: Ø What is ethical leadership?Ø Why is Northam following the Trump playbook?Ø How and why employees take their cues around ethics from their leaders?Ø Why are employees looking to work for companies with a culture of accountability?Ø Why should the CCO have an ethical role in an organization? For additional reading see Matt’s blog post Northam and Ethical Accountabilityin Radical Compliance.  Share Your Compliance Expertise and Help Those in Need!We need your expertise on ethics & compliance programs! If you’re involved in managing employee policies & procedures, a hotline/incident management program, training initiatives or third party risk management, please share your thoughts on your program effectiveness, success measurements, and key activities and goals for this year by taking part in NAVEX Global’s 2019 Future of Compliance Report survey.Click here to complete the survey.For every complete, $10 (USD) will be donated on your behalf to the charity of your choosing from the following charities: UNICEF, Operation Smile, St. Jude Children’s Hospital, Humane Society, Wounded Warrior Project,Médecins Sans Frontières, or Rainbow Trust Children’s Charity. Also, as a thank you for your participation in this annual study, you’ll get access to this valuable benchmark data to create a more effective compliance program.You can also copy and paste the URL below into your internet browser: https://na1se.voxco.com/SE/?st=4P4BV59nKuYZVVwz2mHGZPBTRrG4NjahAP%2FlgrTzTYE%3D&urlimport=1&questlist=source&source=4 COMMITMENT TO ANONYMITY All responses are confidential and will be reported only in aggregate form. Individual data will NEVER be shared with any other party (privacy policy). Learn more about your ad choices. Visit megaphone.fm/adchoices

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 recent imbroglio involving (at least as of now) current Governor of Virginia, Ralph Northam and the pictures involving Northam in blackface and KKK robes.    Some of the highlights include: Ø What is ethical leadership?Ø Why is Northam following the Trump playbook?Ø How and why employees take their cues around ethics from their leaders?Ø Why are employees looking to work for companies with a culture of accountability?Ø Why should the CCO have an ethical role in an organization? For additional reading see Matt’s blog post Northam and Ethical Accountabilityin Radical Compliance.  Share Your Compliance Expertise and Help Those in Need!We need your expertise on ethics & compliance programs! If you’re involved in managing employee policies & procedures, a hotline/incident management program, training initiatives or third party risk management, please share your thoughts on your program effectiveness, success measurements, and key activities and goals for this year by taking part in NAVEX Global’s 2019 Future of Compliance Report survey.Click here to complete the survey.For every complete, $10 (USD) will be donated on your behalf to the charity of your choosing from the following charities: UNICEF, Operation Smile, St. Jude Children’s Hospital, Humane Society, Wounded Warrior Project,Médecins Sans Frontières, or Rainbow Trust Children’s Charity. Also, as a thank you for your participation in this annual study, you’ll get access to this valuable benchmark data to create a more effective compliance program.You can also copy and paste the URL below into your internet browser: https://na1se.voxco.com/SE/?st=4P4BV59nKuYZVVwz2mHGZPBTRrG4NjahAP%2FlgrTzTYE%3D&urlimport=1&questlist=source&source=4 COMMITMENT TO ANONYMITY All responses are confidential and will be reported only in aggregate form. Individual data will NEVER be shared with any other party (privacy policy). Learn more about your ad choices. Visit megaphone.fm/adchoices

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 recent imbroglio involving (at least as of now) current Governor of Virginia, Ralph Northam and the pictures involving Northam in blackface and KKK robes.    Some of the highlights include: Ø What is ethical leadership?Ø Why is Northam following the Trump playbook?Ø How and why employees take their cues around ethics from their leaders?Ø Why are employees looking to work for companies with a culture of accountability?Ø Why should the CCO have an ethical role in an organization? For additional reading see Matt’s blog post Northam and Ethical Accountabilityin Radical Compliance.  Share Your Compliance Expertise and Help Those in Need!We need your expertise on ethics & compliance programs! If you’re involved in managing employee policies & procedures, a hotline/incident management program, training initiatives or third party risk management, please share your thoughts on your program effectiveness, success measurements, and key activities and goals for this year by taking part in NAVEX Global’s 2019 Future of Compliance Report survey.Click here to complete the survey.For every complete, $10 (USD) will be donated on your behalf to the charity of your choosing from the following charities: UNICEF, Operation Smile, St. Jude Children’s Hospital, Humane Society, Wounded Warrior Project,Médecins Sans Frontières, or Rainbow Trust Children’s Charity. Also, as a thank you for your participation in this annual study, you’ll get access to this valuable benchmark data to create a more effective compliance program.You can also copy and paste the URL below into your internet browser: https://na1se.voxco.com/SE/?st=4P4BV59nKuYZVVwz2mHGZPBTRrG4NjahAP%2FlgrTzTYE%3D&urlimport=1&questlist=source&source=4 COMMITMENT TO ANONYMITY All responses are confidential and will be reported only in aggregate form. Individual data will NEVER be shared with any other party (privacy policy). Learn more about your ad choices. Visit megaphone.fm/adchoices

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 recent blown call in the Saints-Rams NFC. We consider the (non) response from the NFL under the rubric of internal controls.   Some of the highlights include: Ø What is risk and how should it be considered?Ø Who are the stakeholders for professional football? Who are the stakeholders for your organization?Ø Does your risk increase the closer you get to the final goal? (IE., playing for the Super Bowl)Ø If a control failure can lead to a material adverse event, shouldn’t you have a compensating control?Ø Should an organization like the NFL even care about getting it right? For additional reading see Matt’s blog post Of Blown Calls and Internal Controlin Radical Compliance.  Share Your Compliance Expertise and Help Those in Need!We need your expertise on ethics & compliance programs! If you’re involved in managing employee policies & procedures, a hotline/incident management program, training initiatives or third party risk management, please share your thoughts on your program effectiveness, success measurements, and key activities and goals for this year by taking part in NAVEX Global’s 2019 Future of Compliance Report survey.Click here to complete the survey.For every complete, $10 (USD) will be donated on your behalf to the charity of your choosing from the following charities: UNICEF, Operation Smile, St. Jude Children’s Hospital, Humane Society, Wounded Warrior Project,Médecins Sans Frontières, or Rainbow Trust Children’s Charity. Also, as a thank you for your participation in this annual study, you’ll get access to this valuable benchmark data to create a more effective compliance program. You can also copy and paste the URL below into your internet browser: https://na1se.voxco.com/SE/?st=4P4BV59nKuYZVVwz2mHGZPBTRrG4NjahAP%2FlgrTzTYE%3D&urlimport=1&questlist=source&source=4 COMMITMENT TO ANONYMITY All responses are confidential and will be reported only in aggregate form. Individual data will NEVER be shared with any other party (privacy policy). Learn more about your ad choices. Visit megaphone.fm/adchoices

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 recent blown call in the Saints-Rams NFC. We consider the (non) response from the NFL under the rubric of internal controls.   Some of the highlights include: Ø What is risk and how should it be considered?Ø Who are the stakeholders for professional football? Who are the stakeholders for your organization?Ø Does your risk increase the closer you get to the final goal? (IE., playing for the Super Bowl)Ø If a control failure can lead to a material adverse event, shouldn’t you have a compensating control?Ø Should an organization like the NFL even care about getting it right? For additional reading see Matt’s blog post Of Blown Calls and Internal Controlin Radical Compliance.  Share Your Compliance Expertise and Help Those in Need!We need your expertise on ethics & compliance programs! If you’re involved in managing employee policies & procedures, a hotline/incident management program, training initiatives or third party risk management, please share your thoughts on your program effectiveness, success measurements, and key activities and goals for this year by taking part in NAVEX Global’s 2019 Future of Compliance Report survey.Click here to complete the survey.For every complete, $10 (USD) will be donated on your behalf to the charity of your choosing from the following charities: UNICEF, Operation Smile, St. Jude Children’s Hospital, Humane Society, Wounded Warrior Project,Médecins Sans Frontières, or Rainbow Trust Children’s Charity. Also, as a thank you for your participation in this annual study, you’ll get access to this valuable benchmark data to create a more effective compliance program. You can also copy and paste the URL below into your internet browser: https://na1se.voxco.com/SE/?st=4P4BV59nKuYZVVwz2mHGZPBTRrG4NjahAP%2FlgrTzTYE%3D&urlimport=1&questlist=source&source=4 COMMITMENT TO ANONYMITY All responses are confidential and will be reported only in aggregate form. Individual data will NEVER be shared with any other party (privacy policy). 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

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

During this podcast series, I have been interviewing Dr. Kyle Welch, Assistant Professor at George Washington University (GWU), on his recently released paper, co-authored with Stephen Stubben, Associate Professor from The University of Utah, entitled “Evidence on the Use and Efficacy of Internal Whistleblowing Systems” (Report). In this paper, Welch and Stubben reviewed some 15 years of anonymized data from NAVEX Global, Inc., the sponsor of this podcast series. This data was from the company’s hotline reporting systems. Some of the key findings included that companies with a robust whistleblower and reporting system had greater profitability and workforce productivity as measured by Return on Assets (ROA) and there were fewer material lawsuits brought against the company overall and there were lower settlement costs if a lawsuit did occur. Finally, there were fewer external whistleblower reports to regulatory agencies and other authorities. We continue to take a deep dive into the Report and today, we go into the weeds to consider the key findings of the Reports. This podcast series is sponsored by NAVEX Global, Inc.  Learn more about your ad choices. Visit megaphone.fm/adchoices

In this podcast series, I interviewed Dr. Kyle Welch, Assistant Professor at George Washington University (GWU), on his recently released paper, co-authored with Stephen Stubben, Associate Professor from The University of Utah, entitled “Evidence on the Use and Efficacy of Internal Whistleblowing Systems” (Report). In this paper, Welch and Stubben reviewed some 15 years of anonymized data from NAVEX Global, Inc., the sponsor of this podcast series. This data was from the company’s hotline reporting systems. Some of the key findings included that companies with a robust whistleblower and reporting system had greater profitability and workforce productivity as measured by Return on Assets (ROA) and there were fewer material lawsuits brought against the company overall and there were lower settlement costs if a lawsuit did occur. Finally, there were fewer external whistleblower reports to regulatory agencies and other authorities. Throughout this series we are taking a deep dive into the Report. Today we find out the impact of whistleblower reporting systems on power users and expand the definition of litigation. This series is sponsored by NAVEX Global, Inc. Learn more about your ad choices. Visit megaphone.fm/adchoices

Over this special five-part podcast series, I have visited with Dr. Kyle Welch, Assistant Professor at George Washington University (GWU), on his recently released paper, co-authored with Stephen Stubben, Associate Professor from The University of Utah, entitled “Evidence on the Use and Efficacy of Internal Whistleblowing Systems” (Report). In this paper, Welch and Stubben reviewed some 15 years of anonymized data from NAVEX Global, Inc., the sponsor of this podcast series. This data was from the company’s hotline reporting systems. Some of the key findings included that companies with a robust whistleblower and reporting system had greater profitability and workforce productivity as measured by Return on Assets (ROA) and there were fewer material lawsuits brought against the company overall and there were lower settlement costs if a lawsuit did occur. Finally, there were fewer external whistleblower reports to regulatory agencies and other authorities. This podcast series has taken a deep dive into the Report. Today, we bring it all by considering what it means for compliance practitioners. The sponsor of this special five-part podcast series is NAVEX Global, Inc. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this podcast series, I interviewed Dr. Kyle Welch, Assistant Professor at George Washington University (GWU), on his recently released paper, co-authored with Stephen Stubben, Associate Professor from The University of Utah, entitled “Evidence on the Use and Efficacy of Internal Whistleblowing Systems” (Report). In this paper, Welch and Stubben reviewed some 15 years of anonymized data from NAVEX Global, Inc., the sponsor of this podcast series. This data was from the company’s hotline reporting systems. Some of the key findings included that companies with a robust whistleblower and reporting system had greater profitability and workforce productivity as measured by Return on Assets (ROA) and there were fewer material lawsuits brought against the company overall and there were lower settlement costs if a lawsuit did occur. Finally, there were fewer external whistleblower reports to regulatory agencies and other authorities. This podcast series takes a deep dive into the Report. Today we consider the impact of internal v. external reporting. This 5-part podcast series is sponsored by NAVEX Global, Inc.  Learn more about your ad choices. Visit megaphone.fm/adchoices

In this special five-part podcast series, I interviewed Dr. Kyle Welch, Assistant Professor at George Washington University (GWU), on his recently released paper, co-authored with Stephen Stubben, Associate Professor from The University of Utah, entitled “Evidence on the Use and Efficacy of Internal Whistleblowing Systems”. In this paper, they reviewed some 15 years of anonymized data from NAVEX Global, Inc., the sponsor of this podcast series. This data was from the company’s hotline reporting systems. Some of the key findings included that companies with a robust whistleblower and reporting system had greater profitability and workforce productivity as measured by Return on Assets (ROA) and there were fewer material lawsuits brought against the company overall and lower settlement costs if a lawsuit did occur. Finally, there were fewer external whistleblower reports to regulatory agencies and other authorities. This podcast series will take a deep dive into the Report. Today we introduce the Report and why he engaged in the research that led to it. This 5-part podcast series is sponsored by NAVEX Global, Inc.  Learn more about your ad choices. Visit megaphone.fm/adchoices

Bob Conlin, President & CEO of NAVEX Global, talked about the strategic benefits of embracing a company-wide culture of ethics. Read more: https://mackinstitute.wharton.upenn.edu/2018/corporate-compliance-bob-colin/ See acast.com/privacy for privacy and opt-out information.