Welcome to the only roundtable podcast in compliance. In this episode, we begin a two-part episode where we consider the Trump Administration and Compliance, Part 1. This episode includes Sarah Hadden, Mike Volkov and Matt Kelly. Our next episode will feature Jay Rosen, Jonathan Armstrong and your host, Tom Fox.

  1. Sarah Hadden bemoans the death of privacy and explains how the Number 7 has come to haunt her in the modern world of advertising algorithms. Sarah shouts out to the resistance to the Surveillance State and Surveillance Capitalism.
  2. Matt Kelly considers both where the SEC has been and is headed in its rollback of SEC 404 protections and the SEC changes to its whistleblower provisions under Dodd-Frank. Matt treats us to a double shot of rants today as he cannot control himself on the subject of the Trump Administration calling sub-regulatory guidance from the DOJ worthless “paper” while continuing to issue Guidance such as the 2019 Guidance for Compliance Programs. He also rants about the Dutch Data Protection Authority who violated GDPR in a recent release of data and then failed to timely report said breach (to themselves).
  3. Mike Volkov goes hyperbolic in his discusses of the new OFAC compliance program and the current state of OFAC sanctions. Mike rants about the petty criticism of the DOJ’s Evaluation of Corporate Compliance Programs.

The members of the Everything Compliance are:

The host and producer (and sometime panelist) of Everything Compliance is Tom Fox the Compliance Evangelist. Everything Compliance is a part of the Compliance Podcast Network.

For additional reading and listening, check out the follow resources:

Matt Kelly (all in Radical Compliance)

Whistle blower protection reform- Progress on Whistleblower Fix;

SEC rollback of Dodd-Frank – SEC Preps SOX 404(b) Rollback

Administration attempts at regulatory rollback Trump Grabs Agency Ruling

Mike Volkov (all in Corruption Crime and Compliance)

OFAC Compliance Framework

Part 1– Issues Framework for Sanctions Compliance Programs

Part 2-Risk Assessment and Internal Controls

Part 3 – Testing and Auditing and Training

Part 4 – Review of Lessons Learned from Enforcement Actions

June 13, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

  • Are high numbers of athletes at a university indicia of bribery? (Washington Post)
  • Tesla shareholders fail to pass corporate governance improvements. (WSJ)
  • Will Switzerland become a global courthouse? (FT)
  • No water time for ex-Stanford sailing coach, at least for 6 months. (Reuters.com)

In this episode of Trekking Through Compliance, we consider the episode The Menagerie (Part One) which aired on November 17, 1966, Star Date 3012.4.

Story Synopsis

This episode and the sequel are derived from the original pilot for the Star Trek series, The Cage. The Enterprise diverts to Starbase 11 after Spock reports receiving a sub-space message from former Captain of the Enterprise Christopher Pike. However, the Commodore on the Starbase tells them that Pike has been injured from exposure to delta rays  and could not have sent the message. This is confirmed as Pike is confined to a wheelchair which is operated by brain waves. The only communication of which Pike is still capable is signaling yes or no. Pike refuses to speak to Bones or Kirk but agrees to speak to Spock in private.

Spock, who had served under Pike for 11 years, 4 months, and 5 days, prepares to mutiny in order to take Pike to Talos 4, despite Pike’s protests. Meanwhile, an investigation of the tapes reveals that Spock received no transmission, but Kirk refuses to believe it possible that Spock could have been responsible for a deception. Spock nerve pinches Chief Humboldt at the computer center and sends the Enterprise bogus instructions using tapes he has made of Kirk’s voice. Another technician discovers Spock cross-circuiting the communications panel and attempts to stop him, but is nerve pinched for his efforts. Spock informs Mr. Hansen that the coded transmissions he has sent will navigate the ship automatically. McCoy is tricked into returning to the Enterprise by a request for medical assistance. Spock then transports himself and Pike aboard.

The Enterprise warps out of orbit towards Talos 4. Kirk and Mendez pursue Spock and the Enterprise Spock stops the Enterprise and beams aboard Kirk and Mendez. Spock then informs them that has set up the ship’s computer so that it cannot be disengaged without terminating life support systems until the Enterprise reaches Talos 4.

Spock is then put on trial. Not only is mutiny a court martial offense but visiting Talos 4 is an offense punishable by death. The hearing proceeds because Pike is still listed as on active duty, so three command officers are present as required by regulations. During the hearing, Spock introduces a recording of the experiences of the original crew of the Enterprise on Talos 4 as evidence.

The tape recounts how 13 years previously the Enterprise, commanded by Pike, received a distress signal from the survey vessel Columbia, lost 18 years earlier. Unbeknownst to the landing party, their actions are being monitored by native Talosians. The doctor notices that the condition of the survivors is better than could be reasonably expected and becomes suspicious. Before he can find out what is going on, Vena leads Pike into a Talosian trap. As soon as Pike is drugged and captured by the Talosians, the survivors, who were illusionary, vanish. In a desperate attempt to rescue Pike, the landing party tries to blast through the rock into which Pike was spirited away, but their phasers have no effect.

At this juncture, Uhura reports that the Enterprise has been receiving transmissions from Talos 4 and Kirk is relieved from duty by order of the Starfleet Command Consul.

 Fun Fact

Robert Justman convinced Roddenberry to write a two-part episode utilizing the first pilot because they ran out of scripts in the middle of the first season and had to shut down production otherwise.

Compliance Takeaways:

  1. A leader must take care of themselves as well as their crew.
  2. What does it mean if a deal is too good to be true?
  3. Trust but verify.

Resources

Excruciatingly Detailed Plot Summary by Eric W. Weisstein for The Menagerie (Part One)

MissionLogPodcast.com-The Menagerie (Parts 1 & 2)

Richard Lummis and I are back and we head in a different direction today. This episode begins a three-part podcast series where consider the two principals from a titanic struggle in the early 1950s. It was between President Harry Truman and General Douglas MacArthur. In today’s Part 3, we consider some of the leadership lessons from Truman’s decision to and sacking of MacArthur.
Some of the issues posed include:
·     Was the sacking inevitable?
·     How much control must you have on subordinate? How much should you have?
·     MacArthur said he wanted to save live; Truman wanted to end the war. Were these mutually exclusive bargaining positions?
·     Was MacArthur subordinate when he sabotaged Truman’s attempt at a cease fire?
·     What would you have done?
·     What should a leader do in the face of criticism like the Benning letter?
Additional resources
Lisa Fine and Mary Shirley are the proud co-hosts of Great Women in Compliance. They bring to you some of the top female compliance practitioners who relate some of the challenges they have faced and overcome in the compliance profession. In this episode, Mary visits with Courtney Sander about current trends and best practices in Compliance training, what it means to operationalize your program and how younger leaders can gain credibility with key stakeholders.
Great Women is Compliance is a part of the Compliance Podcast Network and can be found on Spotify, iTunes, the FCPA Compliance Report and Corporate Compliance Insights.