FCPA Compliance Report

In this episode, I explore why Wells Fargo needs a true compliance expert on its Board of Directors.  Learn more about your ad choices. Visit megaphone.fm/adchoices

The Hitachi FCPA enforcement action also presented one of the clearest cases for keeping track of current events for continuous improvement I have seen. Learn more about your ad choices. Visit megaphone.fm/adchoices

What is the upside to any US business engaging with the Trump Administration after its tepid response to the events in Charlottesville? Learn more about your ad choices. Visit megaphone.fm/adchoices

The desktop risk assessment can be used to perform ongoing monitoring at low cost with high effectiveness. Learn more about your ad choices. Visit megaphone.fm/adchoices

There are several leadership lessons which I believe can be learned from the British (and German) experiences at Dunkirk. Learn more about your ad choices. Visit megaphone.fm/adchoices

Continuous improvement requires that you not only audit and monitor but also that you test your controls. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode, Mike Volkov and I discuss two declinations with disgorgement issued in June 2017 and their significance for the compliance practitioner. Learn more about your ad choices. Visit megaphone.fm/adchoices

Jay and I return for a wide-ranging discussion on some of the week’s top compliance and ethics related stories for the week ending August 11. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode, I consider a fraud audit by using data analytics to help detect or prevent bribery and corruption where the primary sales force used by a company are its FCPA and Chinese domestic law, involved China based employees defrauding their company by using false expense reports to create a pot of money to use as a slush fund to pay bribes. Learn more about your ad choices. Visit megaphon...

In this episode, the Everything Compliance trio of Matt Kelly, Jay Rosen and Tom Fox unpack our first book review. We consider the recently released The Chickenshit Club by Jesse Eisenger and it may mean for the compliance practitioner. Learn more about your ad choices. Visit megaphone.fm/adchoices

What is organizational culture? Eric Feldman, SVP at Affiliated Monitors has said it comprises the mission, vision and values of an organization. Learn more about your ad choices. Visit megaphone.fm/adchoices

The OODA feedback loop provides a framework for the obtaining and consideration of information; then using it going forward. Learn more about your ad choices. Visit megaphone.fm/adchoices

Many companies have yet to begin their audit process for FCPA compliance on vendors in their supply chain. I find this to be a missed opportunity from both the compliance perspective and greater business efficiency. Learn more about your ad choices. Visit megaphone.fm/adchoices

The Mattis Memo on ethics is so significant that every CCO and compliance practitioner should read it and the Memo's substance into your compliance program. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode we discuss the key role Board of Directors around oversight of strategy and risk. Learn more about your ad choices. Visit megaphone.fm/adchoices

Third parties still present the highest risk around FCPA compliance. It is therefore critical that you use monitoring and auditing when it comes to continuous improvement for this high-risk area. Today I want to consider three aspects of a company’s audit program for its compliance function: the types and purpose of third-party audits, planning for third-party audits and interviewing third parties...

In this episode, Tim Khasanov and I look at the former Soviet Union states, one of the most interesting region for Compliance professionals. we will touch 10 hot questions on corporate ethics in this region. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this special Saturday edition, Jay and I return for a wide-ranging discussion on some of the week’s top compliance and ethics related stories. Learn more about your ad choices. Visit megaphone.fm/adchoices

Most Chief Compliance Officers (CCOs) and compliance practitioners understand the need for continuous controls monitoring. Further, while most compliance practitioners are aware of the tools which can be applied to continuous controls monitoring, they may not be as aware of how to engage in the process. How do you develop a methodology for building a controls monitoring process that yields sustain...

Internal audit is an excellent tool to make continuous improvement in your compliance regime more effective. Learn more about your ad choices. Visit megaphone.fm/adchoices

This podcast discusses the Holder Report and the role of the Uber Board. Learn more about your ad choices. Visit megaphone.fm/adchoices

We consider the enforcement action around the issue of internal controls, their effectiveness (or lack thereof) and management over-ride of internal controls. Learn more about your ad choices. Visit megaphone.fm/adchoices

Auditing can take several different forms in an anti-compliance program. As a matter of course, you should audit the compliance program in your own organization. A forensic audit can collect and analyze accounting and internal-controls evidence in your compliance regime. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode, I visit with Margaret Johnson, the author of the book from From SOS to WOW. This book can help you to move your leadership skills to a new level through by helping you bust through assumptions, unleashing your creative ideas and taking courageous action to finally make the move to where you really want to be personally or professionally. Learn more about your ad choices. Visit meg...

Welcome to the August edition of One Month to More Effective Continuous Improvement. As you know, each month in 2017 I am presenting a series of podcasts on one topic which will allow you to create a more effective compliance program. This month I will discuss what techniques to create continuous improvement in your compliance program. Learn more about your ad choices. Visit megaphone.fm/adchoices