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 to explore the President’s recent imbroglio regarding Hurricane Dorian, Alabama and sharpies.
Some of the highlights include:
  • Why was this episode so creepy?
  • What is a Level 5 business leader and why are those traits so valued in business?
  • What would happen if a business leader intentionally misrepresented his company’s products?
  • If you threaten to fire all who disagree with the Leader’s comments, what will it do for the future of the organization?
  • What was the failure of compensating controls?
  • What should a Board of Directors do if a CEO engages in material misrepresentations?
For additional reading see Matt’s blog post, Sharp(ie) Insights in Speak Up Culture, on Radical Compliance.

CONVERGE19 is in its 4th year of bringing together the world’s leading companies for 2 days of dynamic speakers, thought-provoking breakout sessions, and opportunities to connect with like-minded professionals. You will leave the conference with new resources and best practices allowing you to continue the hard work of driving ethics to the center of your business. In today’s episode I visit with Michael Williamson, Chief Compliance Officer at Pacific Dental, on his talk at Converge19, moving an Ethics & Compliance from rules-based to leverage values.

You can move your Ethics & Compliance Program beyond a rules-based, blind obedience construct by leveraging values. In this session, Michael Williamson will describe how to animate your organization’s values and create alignment behind them to foster a self-governing culture of ethics and compliance. He will make the case for inspiring employees through purpose and values to act as individual leaders based on shared beliefs rather than coercing employees through rules or motivating them through performance-based rewards and expectations. You will learn how to bring your organization’s purpose and values to life in support of an ethics and compliance culture that, minimally, will pivot your Program to a posture of proactive risk mitigation. Finally, Williamson will tie it all together to demonstrate how this helps create strategic differentiation between you and your competitors.

For more information on Converge19, click here.

CONVERGE19 is in its 4th year of bringing together the world’s leading companies for 2 days of dynamic speakers, thought-provoking breakout sessions, and opportunities to connect with like-minded professionals. You will leave the conference with new resources and best practices allowing you to continue the hard work of driving ethics to the center of your business. In today’s episode I visit with Ricardo Pellafone, Founder and CEO of Broadcat and Ashley Lewis, Associate Manager, Internal Audit at Tempur-Pedic Management, LLC  about their talk, Compliance, Culture, and Communication: How to Build the Foundation of Your Brand.
Understand how engaging with your peers, stakeholders and employees is critical to the success of your program. This ranges from cross functional partnerships: who to connect with, how often, and why; to engaging employees: why engagement is key to proving E&C is not the enemy; to rebranding your hotline solution: why words matter and how you can use words and to connect with your employees. In their session Ricardo and Ashley bring their experiences to the fore to provide insight into building your compliance brand.

For more information on Converge19, click here. For more information on Broadcat, click here.

From Vaudeville to the Silver Screen to the Small Screen, the Marx Brothers made an impact wherever people found them. Now Tom Fox and Mike Volkov have wedded their love of the Marx Brothers with their passion for compliance and bring them into the boardroom to help explain and explore the sometimes chaotic world of governance, risk-management, ethics and compliance. In this episode they discuss the movie Horsefeathers and the recently released DOJ Antitrust Division compliance guidance.  Highlights from the podcast include:

  1. Why is this document so significant?
  2. How will the Evaluation be used at the Charging Phase? At the Sentencing Phase?
  3. What is different in this Guidance from the ABC Guidance issued in April by the Criminal Division?
  4. What are some of the key lessons learned for the ABC compliance professional?
  5. How does data analytics from the Antitrust Division Guidance inform ABC compliance programs going forward?
  6. How does the Antitrust Guidance, working in conjunction with OFAC’s Sanctions Enforcement Guidelines and the Criminal Division’s 2019 Compliance Guidance demonstrate the need to break down the silos around compliance?
  7. Where does compliance go from here?

Resources

New Antitrust Compliance Guidance

  1. From Tom Fox-eBook on The Antitrust Division Guidance on an Effective Compliance Program, available on CCI, hereat no cost.
  2. From Mike Volkov-Two-part series on DOJ’s Antitrust Division Announces New Policy for Crediting Corporate Compliance Programs. Part Iand Part 2.
  3. Download a copy of the new Antitrust Division Guidance, here.

Marx Brothers

Horsefeathers-the full movie on YouTube.