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
Using social media to innovate in compliance
How can you get your arms around how to structure such a program for your company? The most important thing to remember is that communication in social media is two-way; both inbound and outbound.
9 min
2
The D&B experience in 360 Degrees of Communicat...
How has one company and one CCO actively use social media to make the company’s compliance culture more effective?
10 min
3
Social media is a 360-degree conversation
Social media presents some excellent mechanisms to communicate the message of compliance going forward.
9 min
4
Introduction To December- Training and Communic...
In this month's offering of 31 Days to a More Effective Compliance Program, you will learn about training and communication techniques that the CCO can use.
12 min
5
Leveraging AI in Compliance Investigations
Leveraging AI is now critical in compliance investigations.
7 min
6
Creating an Inventory of Metrics
Why is the creation of an inventory of metrics, a critical step in building a best practices compliance program?
7 min
7
Consistency as a Compliance Best Practice
Why is consistency a best practice in compliance? Find out in today's edition of 31 Days to a More Effective Compliance Program.
7 min
8
Compliance at the Table
Why must compliance have a seat at the table in the 2020s? Find out on today's episode of 31 Days to a More Effective Compliance Program
7 min
9
Compliance Innovation Through KPIs
How can you innovate your compliance program though the use of KPIs? Find out on Today's edition of 31 Days to a More Effective Compliance Program.
7 min
10
Connected Compliance
Disconnectedness compliance comes from the fact there is not one system which connects the disparate strands of the compliance discipline. Find out more on 31 Days to a More Effective Compliance Program.
7 min
11
The Competitive (Compliance) Advantage of Data
The bottom line is that it is not if but when you begin to incorporate corporate information into your compliance program to make your compliance program more efficient and your business process run more effectively.
7 min
12
The Compliance Function into the 2020s and Beyond
Yesterday we considered the compliance professional in the 2020s and beyond. Today we look at the Compliance Function.
7 min
13
Skills for the Compliance Professional in the 2...
What should compliance practitioners do to move themselves forward professionally in the 2020s and beyond? Find out n this episode of 31 Days to a More Effective Compliance Program.
7 min
14
Future of Compliance Training
What does the future of compliance training look like? Find out on this episode of 31 Days to a More Effective Compliance Program
7 min
15
Communication to see around corners
How can a compliance professional use such an approach to communications, allows a CCO to “see around corners” and why can be one of the greatest strengths of a best practices compliance program?
7 min
16
The ROI of Effective Compliance
We are now at a place where there is sufficient data, academic research and actual use cases demonstrate good ethics and compliance programs are not simply good for business but when properly used, they lead to greater ROI.
7 min
17
Operationalizing Compliance Through a Digital T...
How can you operationalizing compliance through a digital transformation? Find out in today's edition of 31 Days to a More Effective Compliance Program
7 min
18
Taming Complexity in Compliance
Why is taming complexity in compliance critical to compliance program effectiveness? Find out in today's episode of 31 Days to a More Effective Compliance Program.
7 min
19
Originating and Managing a Compliance Ecosystem
Have you ever thought of compliance as an ecosystem? Find out more in today's episode of 31 Days to a More Effective Compliance Program.
7 min
20
Why Business Ventures are Different than 3rd Pa...
Too often compliance professionals do not understand the difference between business ventures and business venture partners and 3rd parties.
16 min
21
Distributor Liability Under the FCPA
In today's episode, we consider three enforcement actions which made clear that there were no distinctions between agents and distributors.
7 min
22
Following the Money Through Distributors
In this episode of 31 Days to a More Effective Compliance Program, I am consider the Polycom FCPA enforcement action to discuss following the money through distributors.
7 min
23
Franchisor Compliance
How many franchisors perform compliance due diligence on their prospective overseas franchises?
10 min
24
Franchisor liability
What is potential franchisor under the FCPA? More than you might think. Find out more in today's 31 Days to a More Effective Compliance Program.
9 min
25
Distributors as business venture partners
Do you consider you distributors as business venture partners? Find out why you should on this episode of 31 Days to a More Effective Compliance Program.
9 min
26
Financial review of your business venture partner
Why is the financial review of your business venture partners so critical? Find out in today's 31 Days to a More Effective Compliance Program.
8 min
27
The Corp Controller and Business Ventures
How can the Corporate Controller be a key to risk management in business ventures? Find out in today's 31 Day's to a More Effective Compliance Program.
9 min
28
Know Your Customer
Why is know your customer becoming more important in the business venture context? Find out on this episode of 31 Days to a More Effective Compliance Program.
8 min
29
Tying it all together for JVs
In this episode, I tie together the risk and risk management strategies for Joint Ventures under the FCPA. In this edition of 31 Days to a More Effective Compliance Program.
8 min
30
Post-acquisition integration plan
What is your post acquisition integration plan? Find out why having one is so critical in this episode of 31 Days to a More Effective Compliance Program.
10 min
31
Pre-acquisition due diligence
A pre-acquisition risk assessment could also be used as a “lens through which to view the feasibility of the business strategy” and help to value the potential target.
8 min
32
Pre-acquisition risk assessment
What is the pre-acquisition risk assessment and how can it lead to safe harbor? Find out in this episode of 31 Days to a More Effective Compliance Program.
8 min
33
Draft Episode for Oct 13, 2020
Why should a company engage in pre-acquisition due diligence in the M&A context? Find out the business reasons in this episode of 31 Days to a More Effective Compliance Program
9 min
34
Safe Harbor for Successor Liability
White collar defense practitioners have long called for a specific safe harbor for companies in the mergers and acquisition context. This clarion call was answered when in July 2018, the DOJ announced a safe harbor.
8 min
35
Auditing Joint Ventures
Joint Ventures present unique compliance risks and must be managed accordingly. Audit rights and their exercise are key risk management tools.
8 min
36
Compliance terms and conditions in JV agreements
What are the compliance terms and conditions you should have in every JV subject to the FCPA? Find out in this episode of 31 Days to a More Effective Compliance Program.
8 min
37
JV Due Diligence
When you bring two entities together to operate jointly, there are several difficult issues to analyze. This is where the due diligence process comes into play. Find out more in this episode of 31 Days to a More Effective Compliance Program.
9 min
38
JV risks under the FCPA
In many ways, JVs present more difficult issues for the compliance practitioner than M&A because of the control issues present in JVs with foreign governments or state-owned enterprises ownership.
9 min
39
Opinion Release 14-02: Dis-linking illegal cond...
The concept of dis-linking was most prominently laid out in Opinion Release 14-02. It provided one of the most concrete statements from the DOJ on the unidimensional nature of compliance in the M&A context.
10 min
40
Key M&A cases under the FCPA
What are some of the key M&A enforcement actions under the FCPA?
11 min
41
Introduction to Business Ventures
This month we consider how to create a more effective compliance program involving business ventures.
9 min
42
Culture as a Foundational Internal Control
To conclude this month's series on Internal Controls, I am joined by Vin DiCianni, Founder and CEO of AMI. We discuss how corporate culture is a foundational internal control. It is a fascinating topic that is not discussed enough by compliance professionals.
11 min
43
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
44
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
45
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
46
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
47
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
48
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
49
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
50
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
51
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
52
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
53
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
54
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
55
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
56
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
57
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
58
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
59
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
60
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
61
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
62
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
63
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
64
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
65
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
66
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
67
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
68
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
69
 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
70
 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
71
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
72
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
73
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
74
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
75
The Board as an Internal Control
How does a Board of Directors act as an Internal Control?
11 min
76
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
77
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
78
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
79
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
80
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
81
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
82
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
83
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
84
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
85
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
86
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
87
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
88
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
89
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
90
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
91
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
92
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
93
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
94
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
95
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
96
The “how” question in due diligence
The how question is as important as the who or where question in due diligence.
8 min
97
Compliance Terms and Conditions
You should incorporate appropriate compliance terms and conditions into in every contract with third-parties.
8 min
98
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
99
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
100
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