31 Days to a More Effective Complianc...
In this podcast series, I lay the best way to more fully operationalize a compliance program. Each month I will consider a different topic in a best practices compliance program. This podcast series provides the compliance practitioner with a thorough grounding in the key aspects of a best practices compliance program based on the most recent information from the regulators. Each episode concludes with three key takeaways with which you can enhance your compliance program at little or no cost. If you are a compliance professional, this is the podcast series for you.
Management
Business News
1
Gap Analysis
In this episode of 31 Days to a More Effective Compliance Program, I am joined by AMI's Eric Feldman to discuss a gap analysis and why it is so critical.
10 min
2
Assessing compliance internal controls under COSO
How can you assess your internal controls? Find out in today's edition of 31 Days to a More Effective Compliance Program
8 min
3
COSO Objective V: Monitoring Activities
The fifth and final Objective is Monitoring Activities and as with all other components of the COSO Cube, Monitoring Activities are part of an inter-related whole and cannot be taken singularly.
8 min
4
COSO Objective IV: Information and Communication
The objective of Information and Communication is not to be taken in a vacuum. Indeed, one of the more interesting aspects of this objective is that it runs not only vertically but also horizontally. Find out more in today's 31 Days to a More Effective Compliance Program
9 min
5
COSO Objective III: Control Activities
Control Activities are the actions established through policies and procedures that help ensure that management’s directives to mitigate risks to the achievement of objectives are carried out. Find out more in today's 31 Days to a More Effective Compliance Program.
8 min
6
COSO Objective II: Risk Assessments
Objective II is designed to provide a company with a dynamic and iterative process for identifying and assessing risks. Find out more in today's 31 Days to a More Effective Compliance Program
10 min
7
COSO Objective I: Control Environment
The first of the five objectives is control environment and it sets the tone for the implementation and operation of all other components of internal control. Find out more in today's 31 Days to a More Effective Compliance Program
10 min
8
What is the COSO 2013 Internal Controls Framework?
What is the COSO 2013 Internal Controls Framework and how does it relate to compliance. We begin a consideration of the COSO Framework in this episode of 31 Days to a More Effective Compliance Program.
9 min
9
Code of Conduct as an internal control
When does a Code of Conduct violation become a FCPA enforcement action? Find out in today's edition of 31 Days to a More Effective Compliance Program.
11 min
10
Board of Directors’ oversight as an internal co...
How does Board of Director oversight act as an internal control? Find out in today's edition of 31 Days to a More Effective Compliance Program.
9 min
11
Internal controls for gifts, travel and enterta...
Today, we consider how to construct internal controls around gifts, travel and entertainment in a best practices compliance program.
7 min
12
Internal controls for third parties
How can you create effective internal controls for third parties? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
13
Implementing internal controls
In this episode, I consider some ways in which a compliance professional can work to implement internal controls in a multi-national organization.
12 min
14
Mapping Internal Controls
What can you do around the FCPA’s requirements for internal controls and continued SEC enforcement emphasis? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
15
Risk assessments and internal controls
In today's episode, I will review how to use the risk assessment you have performed as a tool to provide a structured approach to establishing effective internal controls.
9 min
16
Assessing internal controls in international op...
How should you assess your internal controls regime for international operations? Find out in today's 31 Days to a More Effective Compliance Program.
11 min
17
Internal controls in international locations
What are some of the issues around internal controls outside the U.S. and why your company’s internal controls might require changes for different countries.
9 min
18
The four key internal controls for compliance
What are the four key internal controls for compliance? Find out in today's episode of 31 Days to a More Effective Compliance Program.
10 min
19
Discipline and rigor in your internal controls
How can you maintain discipline and rigor in your internal controls? Find out in today's episode on 31 Days to a More Effective Compliance Program.
9 min
20
What are internal controls?
What are internal controls? Find out in this first episode on a new month of 31 Days to a More Effective Compliance Program.
11 min
21
Twenty questions directors should ask about its...
In this episode of 31 Days to a More Effective Compliance Program, we consider this list of 20 questions to reflect the oversight role of directors.
9 min
22
Three areas of Board inquiry
Why are structure, culture, and risk management 3 key areas for BOD inquiry? Find out on this episode of 31 Days to a More Effective Compliance Program.
11 min
23
Areas of Board inquiry into compliance
Eric Feldman joins me to discuss some key areas of BOD inquiry into compliance. Check out this episode of 31 Days to a More Effective Compliance Program.
11 min
24
Incorporating compliance into long-term corpora...
What is the role of a BOD in long term compliance strategy? Find out in this episode of 31 Days to a More Effective Compliance Program.
11 min
25
The Board and succession planning for a CCO
What is the BOD role in CCO succession planning? Find out in this episode of 31 Days to a More Effective Compliance Program.
8 min
26
The Board role in hiring
What is the Board of Director's role in the hiring of senior executives? Find out in this episode of 31 Days to a More Effective Compliance Program.
11 min
27
 Board of Directors and doing business in China
What are the challenges for a Board of Directors of a company doing business in China or with Chinese companies? Find out in this episode of 31 Days to a More Effective Compliance Program.
11 min
28
 Board failures in compliance
What were some catastrophic Board of Director failures in compliance? Find out in today's 31 Days to a More Effective Compliance Program
12 min
29
Board Metrics for Compliance
What are some Board metrics around compliance? Find out in today's 31 Days to a More Effective Compliance Program.
10 min
30
What leads to a successful Board investigation?
What are the 7 factors to a successful Board investigation? Find out in today's edition of 31 Days to a More Effective Compliance Program.
8 min
31
What Is Your Board's Investigation Protocol
Why should a Board of Directors have an investigation protocol in place? Find out on this episode of 31 Days to a More Effective Compliance Program.
9 min
32
Board Governance and Risk Oversight
What is the role of the board of Directors in risk Overisght? Find out as I am joined by special guest Joe Howell on this episode of 31 Days to a More Effective Compliance Program.
12 min
33
The Board as an Internal Control
How does a Board of Directors act as an Internal Control?
11 min
34
The Board's Role with Internal Controls
What is the Board of Director's role with internal controls? Find out in this episode of 31 Days to a More Effective Compliance Program.
11 min
35
Inquiring up and down
What is the role of a company’s Board in compliance? Find out in this episode of 31 Days to a More Effective Compliance Program.
7 min
36
OIG Guidance for Boards Regarding Compliance
The OIG white paper “Practical Guidance for Health Care Governing Boards on Compliance Oversight” (OIG Guidance), provides an excellent road map for thinking about how to structure a Compliance Committee for your Board and a Board’s obligations
11 min
37
Compliance expertise on the Board
Why does a Board of Directors need compliance expertise on it? Find out in this episode of 31 Days to a More Effective Compliance Program.
11 min
38
BOD Compliance Committee
What is the role of the Board of Directors Compliance Committee? Find out in this episode of 31 Days to a More Effective Compliance Program.
11 min
39
Prudent discharge of compliance obligations
What is a Board's prudent discharge of duties to shareholders under its compliance obligations. Find out in this episode of 31 Days to a More Effective Compliance Program.
11 min
40
Legal requirements of the Board regarding compl...
Welcome to this month's offer of 31 Days to a More Effective Compliance Program. This month I will focus on the Board of Directors and its role in an effective compliance program. 
11 min
41
Wrap up of 3rd Party Management and Preview of ...
In this final episode for the month of July on 31 Days to a More Effective Compliance Program, I review the past month's offerings and preview the month of August where I take up the topic of Boards of Directors and Compliance. 
8 min
42
Use of Data to Manage Third-Parties
How can you utilize data in the management of third-parties? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
43
Risk ranking in the Supply Chain
How can you risk rank company's in your Supply Chain? Find out on this episode of 31 Days to a More Effective Compliance Program.
8 min
44
Freight forwarders
How can you construct a risk matrix for freight forwarders, brokers and agents in the shipping and express delivery arena. Find out today's episode of 31 Days to a More Effective Compliance Program.
8 min
45
What is your distributor compensation protocol?
What is your distributor compensation protocol? Find out why you need one in 31 Days to a More Effective Compliance Program.
8 min
46
Terminating a third-party
Although rarely considered, the termination of a third-party relationship can be as important a step as any other in the management of the third-party lifecycle.
8 min
47
Third-Party Risk Expansion
What is third-party risk expansion and why is it a risk in compliance? Find out in today's edition of 31 Days to a More Effective Compliance Program.
8 min
48
Third-parties as compliance innovation partners
How can 3rd parties be innovation partners in your compliance program? Find out in today's episode of 31 Days to a More Effective Compliance Program.
7 min
49
Third-party risk management ROI
How can you consider the ROI of 3rd party risk management? Find out with special guest Linda Justice on this episode of 31 Days to a More Effective Compliance Program.
9 min
50
Ongoing monitoring of third-parties
Why is ongoing monitoring of 3rd parties so critical? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
51
Auditing of third-parties
Auditing of third-parties is critical in any best practices compliance program. Find out more in today's episode of 31 Days to a More Effective Compliance Program.
8 min
52
Managing third-parties
What are the key steps in managing a third party after the contract is signed? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
53
Metrics on third-party management
What are some of the key metrics on managing a 3rd party relationship? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
54
The “how” question in due diligence
The how question is as important as the who or where question in due diligence.
8 min
55
Compliance Terms and Conditions
You should incorporate appropriate compliance terms and conditions into in every contract with third-parties.
8 min
56
Evaluation of due diligence and clearing red flags
How do you evaluation due diligence and clear red flags? Find out in this edition of 31 Days to a More Effective Compliance Program.
8 min
57
Levels of due diligence
What are the levels of due diligence and how should you navigate them? Find out in this episode of 31 Days to a More Effective Compliance Program.
8 min
58
Due diligence
Getting your arms around due diligence can sometimes seem bewildering for the compliance practitioner. Find out more on this episode of 31 Days to a More Effective Compliance Program.
8 min
59
Questionnaire
Remember if a third-party does not want to fill out the questionnaire or will not fill it out completely you should not walk but run away from doing business with such a party.
8 min
60
The business rationale
Why is the business rationale critical in the management of third-party risk? Find out in today's episode of 31 Days to More Effective Compliance Program.
8 min
61
Introduction to 3rd Party Risk Management
Over the month of July, I will consider the risk management of third-parties in an operationalized compliance program.
8 min
62
The parameters of privileges
What are the parameters of the attorney/client and work product privileges? Find out in the final episode in June on 31 Days to a More Effective Compliance Program.
8 min
63
Miranda and internal investigations: What right...
What role do Miranda warnings have to play in internal investigations? Find out on this episode of 31 Days to a More Effective Compliance Program.
8 min
64
How the Yates Memo changed internal investigations
How did the Yates Memo change the focus of internal investigations? Find out in today's 31 Days to a More Effective Compliance Program.
8 min
65
What leads to a successful Board investigation?
What are some of the top factors which lead to a successful Board of Directors led investigation? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
66
The Board of Directors investigation protocol
What should be in a Board investigation protocol? Find out on this episode of 31 Days to a More Effective Compliance Program.
8 min
67
Some Tough Questions Around Investigations
When a large anti-corruption investigation begins, you will have to ask some very difficult questions of senior management. We explore what some of them are in this episode of 31 Days to a More Effective Compliance Program.
8 min
68
How an investigation informs remediation
How does you investigation inform the remediation of a compliance program? Find out on this episode of 31 Days to a More Effective Compliance Program
8 min
69
Who and When to suspend during an investigation?
Who to suspend during any investigation is always a delicate question to answer and is never easy to answer. Find out more in this episode of 31 Days to a More Effective Compliance Program.
8 min
70
Issues in Cross Border Investigations
What are some of the key issues in cross border investigations? Find out in this episode of 31 Days to a More Effective Compliance Program.
8 min
71
The witness interview
There are some basics to a witness interview. Found out how to prepare and strategies to use in this episode of 31 Days to a More Effective Compliance Program.
8 min
72
Investigative Challenges
What are some of the top investigative challenges in an internal investigation? Find out on this episode of 31 Days to a More Effective Compliance Program.
8 min
73
The investigation team
Who should be on your investigative team? Find out in this episode of 31 Days to a More Effective Compliance Program.
8 min
74
Selection of investigative counsel
How should you think through the hiring of investigative counsel? Find out on this episode of 31 Days to a More Effective Compliance Program.
8 min
75
Preparing for the investigation
How should you prepare for an investigation? Find out the steps to take in this episode of 31 Days to a More Effective Compliance Program.
8 min
76
The Investigation protocol
What is your investigation protocol? Find out why you need one in 31 Days to a More Effective Compliance Program.
8 min
77
Triage of Internally Reported Allegations
Why is the triage of internal reports so critical? Find out on this episode of 31 Days to a More Effective Compliance Program.
8 min
78
Internal Reporting and Whistleblowers During La...
How should you handle whistleblowers during a time of employee layoffs? Find out on this episode of 31 Days to a More Effective Compliance Program
8 min
79
Answering DOJ Questions on Confidential Reporting
In its Evaluation of Corporate Compliance Programs, the DOJ poses a series of questions. How can you answer them regarding confidential reporting? Find out on this episode of 31 Days to a More Effective Compliance Program.
8 min
80
Internal Reporting System Best Practices
What are some of the best practices for an internal reporting system? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
81
Specific benefits of a reporting system-a case ...
What were the benefits of an internal reporting system for one company? We explore in today's episode of 31 Days to a More Effective Compliance Program.
8 min
82
Advantages of an Internal Reporting System
There are numerous advantages in an internal reporting system. In today's episode of 31 Day's to a More Effective Compliance Program, I lay some of the key reasons out for you.
8 min
83
Introduction to internal reporting and investig...
Join me for the month of June as I explore internal reporting systems, hotlines and internal investigations. All on 31 Days to a More Effective Compliance Program.
8 min
84
Polices on extortion payments
What are extortion payments? What does the FCPA say about them? Find out on this episode of 31 Days to a More Effective Compliance Program.
8 min
85
Policies for third-parties
What should be in your policies for third parties? Find out on this episode of 31 Days to a More Effective Compliance Program.
8 min
86
Policies on Facilitation Payments
What should be in your policies around facilitation payments? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
87
Enforcement Actions Featuring Facilitation Paym...
What are some of the key FCPA enforcement actions involving facilitation payments? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
88
The Problem with Facilitation Payments
What are some of the key problems with facilitation payments? Find out in this episode of 31 Days to a More Effective Compliance Program.
8 min
89
Policies on Political Contributions
What should be in your policy on political contributions? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
90
Policies and Procedures on Charitable Donations
What should be included in your policies and procedures for charitable donations? Find out in today's 31 Days to More Effective Compliance Program.
8 min
91
Opinion Release guidance on charitable donations
Opinion Releases can provide valuable information for the compliance practitioner. Find out more in this episode of 31 Days to a More Effective Compliance Program.
8 min
92
Charitable donation enforcement actions
When is a rose not a rose? When it is a charitable donation not made for philanthropic purposes and violates the FCPA. Find out more in today's episode of 31 Days to a More Effective Compliance Program.
8 min
93
Policies on Travel
What are your compliance policies around travel? Find out how to think through this issue on this episode of 31 Days to a More Effective Compliance Program.
8 min
94
Policies and procedures on gifts and business e...
What should be your policies around gifts and business entertainment? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
95
Revising your policies and procedures
How should you consider revising your policies and procedures? Find out in this episode of 31 Days to a More Effective Compliance Program.
8 min
96
Policies and procedures
Why are policies and procedures so critical to a best practices compliance program? How do you design, implement and review them? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
97
Operationalization of your Code of Conduct
How can you work to more fully operationalize your Code of Conduct?
8 min
98
Training on your Code of Conduct
How should you think about training on your Code of Conduct? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
99
Design of your Code of Conduct
How should you design your Code of Conduct? Find out in today's 31 Days to a More Effective Compliance Program.
8 min
100
Code of Conduct: Structure and format
How can you think through the structure and format of your Code of Conduct? Find out in today's edition of 31 Days to a More Effective Compliance Program.
8 min