FCPA Compliance Report

Jay has returned from an Alaskan Disney cruise with the family. As OSU suspends its head coach and added a new phrase to our compliance and ethics lexicon significant memory issues; Tom and Jay are back with a look at some of the week’s top compliance and ethics stories. Learn more about your ad choices. Visit megaphone.fm/adchoices

The recent case involving the Jehovah's Witnesses and data privacy in the UK raised some very interesting legal issues. It also demonstrated just how broad the reach of GDPR could be. In this podcast Jonathan Armstrong and I unpack the case, detailing the underlying facts, the Court's rationale behind its decision and conclude with some of the implications for not only corporations but also indivi...

In this episode, Richard Lummis and I consider how the Houston Astros went from literally the worst team ever in baseball to World Series Champions, as been chronicled by Sports Illustrated writer Ben Reiter in his book “Astroball: The New Way to Win It All”. Learn more about your ad choices. Visit megaphone.fm/adchoices

Over the next five episodes, I visit with Vin DiCianni, founder and CEO and Eric Feldman, Senior Vice President both of Affiliated Monitors, Inc., who is the sponsor of this series. In it, we explore ethical culture and its relationship to ethics and compliance. In this first episode I visit with Feldman on what is ethical culture and why it matters. Learn more about your ad choices. Visit megapho...

Over the past five podcasts, I have visited with Vin DiCianni, founder and CEO and Eric Feldman, Senior Vice President both of Affiliated Monitors, Inc., who is the sponsor of this series. In it, we explored an organization’s ethical culture and its relationship to ethics and compliance. In this fifth and final  episode I visit with DiCianni on how ethical culture is a part of an overall ethics an...

In this episode, I visit with Jonathan Marks, a partner at Baker & Tilly.  This podcast part of my Land of 1000 podcasts celebration. In this special series of podcasts I am reviewing the growth, maturation and development of topics over the past five years. Marks visits with my about some of the key developments in the field in forensic investigation and compliance from his perspective as an inte...

Over the past five podcasts, I have visited with Vin DiCianni, founder and CEO and Eric Feldman, Senior Vice President both of Affiliated Monitors, Inc., who is the sponsor of this series. In it, we explored an organization’s ethical culture and its relationship to ethics and compliance. In this fifth and final  episode I visit with DiCianni on how ethical culture is a part of an overall ethics an...

Over these five podcast episodes, I have been visiting with Vin DiCianni, founder and CEO and Eric Feldman, Senior Vice President both of Affiliated Monitors, Inc., who is the sponsor of this series. In it, we have explored corporation culture and its relationship to ethics and compliance. In this fourth episode, I visit with Feldman on how a company can begin to assess its own culture. Learn more...

Over the next five episodes, I visit with Vin DiCianni, founder and CEO and Eric Feldman, Senior Vice President both of Affiliated Monitors, Inc., who is the sponsor of this series. In it, we explore corporation culture and its relationship to ethics and compliance. In this second episode I visit with DiCianni on what some of the factors are which influence the ethical culture of an organization....

Over this five-part podcast series, I am visiting visit with Vin DiCianni, founder and CEO and Eric Feldman, Senior Vice President both of Affiliated Monitors, Inc., who is the sponsor of this series. In it, we explore corporation culture and its relationship to ethics and compliance. In this third episode I visit with Feldman on what is the role of a CCO in strengthening the ethical culture of an...

In this episode, Matt Kelly and I take 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 take a very deep dive the implications from President Trump’s tweet on Friday, August 17th about quarterly financial reporting by public companies. Learn more about your ad choices. Visit megaphone.fm/adchoices

Jay is on an Alaskan Disney cruise with the family. Through the prism of Trump’s attacks on the US free press and their robust response, Tom takes a solo look at some of the top compliance stories from the past week. Jay returns next week. Learn more about your ad choices. Visit megaphone.fm/adchoices

To celebrate the Month of 1000 podcasts I am running for each of my podcasts this month, in this episode, the Everything Compliance gang focuses on the past five years; giving a retrospective of where we were, where we are and where we are going from their own perspectives. After the commentary we follow with rants and shout outs. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this special five-podcasts series, Matt Kelly and I are exploring the future of internal audit, compliance and analytics. In today’s Part II, we go through the three steps of evolution that an internal audit function must traverse so that it can move beyond its traditional audit duties under Sarbanes-Oxley (SOX) compliance and testing of financial controls. Learn more about your ad choices. Vis...

Over the next five podcasts, Matt Kelly and I will be exploring the future of internal audit, compliance and analytics. In today’s Part I, we introduce the topic, explaining why internal audit is in the midst of a profound transformation, how this transformation will enable to move past its traditional detect function into a more proactive prevent role and how all of these transformations will lea...

In this special five-podcasts series, Matt Kelly and I are exploring the future of internal audit (IA), compliance and analytics. For Part III, we consider three examples of how a framework of a risk management process could be used. The examples are (1) Invoice before PO; (2) Travel and Entertainment (T&E) spending at $49; and (3) Hotline metrics for compliance and culture analysis.  Invoices and...

In Part IV of this five part exploration of the future of internal audit, we consider the new working relationships internal audit will need to develop with for this risk management framework. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this special five-podcasts series, Matt Kelly and I have been exploring the future of internal audit (IA), compliance and analytics. In the final episode, Part V, we discuss how IA can get started and provide some concluding remarks. We consider whether the technology is here today to implement the suggestions put forward in this series. Learn more about your ad choices. Visit megaphone.fm/adch...

The General Data Protection Regulation (GDPR) which went live on May 25, 2018. What has happened since then in the data privacy and data protection world? In this episode, Jonathan Armstrong, partner at Cordery Compliance and I explore what is going on publicly and what has been going on behind the scenes as well. Armstrong provides his thoughts, reflections and observations on the activity which...

What is the purpose of rehabilitation in a best practices compliance program? In this episode, I use the recent trade by the Houston Astros for closer Roberto Osuna last week as an introduction into several areas around compliance, discipline, punishment and zero tolerance. Osuna had been charged with violating the Major League Baseball (MLB) policy on domestic abuse. This weekend Osuna came off a...

As we begin the dog days of summer and the long spell between July 4thand Labor Day, the Everything Compliance gang returns to its four focused topics. After the commentary we follow with rants. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Across the Board, I visit with Amii Barnard-Bahn.  She is a strategic advisor to Boards of Director and executive coach many C-Suite members. She specializes in accelerating the success of C-Suite executives and partner with leaders and teams to help scale their business. We discuss the recent turmoil at Papa John’s pizza around first racial comments by its founder John Schnatte...

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 take a deep dive into the imbroglio Salesforce found itself in when it came out the company did work for ICE. Learn more about your ad choices. Visit megaphone.fm/adchoices

One of the more difficult things to predict in a merger and acquisition context is how the cultures of the two entities will merge. While many mergers claim to be a  ‘merger of equals’ the reality is far different as there is always one corporate winner that continues to exist and one corporate loser that simply ceases to exist. This is true across industries and countries; witness the debacle of...

If your corporate culture is such that you not only communicate internally about illegal conduct but also record those communications in the form of PowerPoint presentations, it speaks to a culture that supports and embraces skirting the rules. Learn more about your ad choices. Visit megaphone.fm/adchoices