31 Days to a More Effective Complianc...

And this too?

Business
101
Franchisor Compliance
How many franchisors perform compliance due diligence on their prospective overseas franchises?
10 min
102
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
103
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
104
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
105
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
106
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
107
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
108
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
109
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
110
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
111
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
112
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
113
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
114
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
115
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
116
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
117
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
118
Key M&A cases under the FCPA
What are some of the key M&A enforcement actions under the FCPA?
11 min
119
Introduction to Business Ventures
This month we consider how to create a more effective compliance program involving business ventures.
9 min
120
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
121
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
122
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
123
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
124
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
125
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
126
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
127
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
128
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
129
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
130
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
131
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
132
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
133
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
134
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
135
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
136
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
137
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
138
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
139
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
140
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
141
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
142
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
143
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
144
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
145
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
146
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
147
 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
148
 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
149
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
150
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
151
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
152
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
153
The Board as an Internal Control
How does a Board of Directors act as an Internal Control?
11 min
154
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
155
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
156
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
157
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
158
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
159
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
160
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
161
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
162
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
163
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
164
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
165
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
166
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
167
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
168
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
169
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
170
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
171
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
172
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
173
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
174
The “how” question in due diligence
The how question is as important as the who or where question in due diligence.
8 min
175
Compliance Terms and Conditions
You should incorporate appropriate compliance terms and conditions into in every contract with third-parties.
8 min
176
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
177
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
178
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
179
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
180
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
181
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
182
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
183
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
184
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
185
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
186
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
187
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
188
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
189
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
190
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
191
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
192
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
193
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
194
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
195
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
196
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
197
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
198
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
199
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
200
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