31 Days to a More Effective Complianc...
Tom Fox is the Compliance Evangelist and is universally recognized as one of the top experts in corruption compliance, literally across the globe. In this daily podcast series, he explains how to design, create and implement a best practices compliance program. Each month, he tackles a different area of compliance. From Internal Controls, to the Role of the Board of Directors, to Communication, to the Role of HR in Compliance, Investigations, 3rd Parties and Business Ventures. Listen in each day and get one tip you can implement at little or no cost to enhance your compliance program.
376
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
377
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
378
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
379
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
380
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
381
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
382
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
383
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
384
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
385
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
386
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
387
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
388
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
389
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
390
Key M&A cases under the FCPA
What are some of the key M&A enforcement actions under the FCPA?
11 min
391
Introduction to Business Ventures
This month we consider how to create a more effective compliance program involving business ventures.
9 min
392
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
393
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
394
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
395
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
396
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
397
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
398
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
399
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
400
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