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Chris Rose on Sign Stealing in the MLB [Podcast]

By Adam Turteltaub Breaking the rules is breaking the rules no matter where it occurs. And for those of us in compliance there is much to learn from scandals of all sorts. Chris Rose, the co-host of Intentional Talk on the MLB Network and in-studio host for the NFL Network, was good enough to illuminate what happened in baseball’s sign stealing-scandal and what it all means. In this podcast we begin by discussing the significance of the penalties imposed by baseball’s Commissioner and why...


Eric Grogg on Making it the Employees’ Compliance Program [Podcast]

By Adam Turteltaub Eric Grogg, Chief Compliance Officer for Orthobanc, comes to compliance and ethics with a different perspective than most, having enjoyed a background in training. That experience keeps him focused on communicating from the listener’s perspective and being aware that employees, like consumers, want to know “what’s in it for me.” Rather than focusing on tone at the top, he advocates for recognizing that workers can be cynical towards management. This, in turn, argues for...


Ellen Lafferty on Due Diligence and Ultimate Beneficial Ownership

By Adam Turteltaub For financial services firms understanding who the Ultimate Beneficial Owner (UBO) of a corporation is has become a central compliance task. As Ellen Lafferty explains in this podcast and in the new edition of The Complete Compliance and Ethics Manual, financial institutions must have procedures to determine both control and ownership. Each natural person who owns 25% or more of the legal entity must be identified. So, too, at least one individual who controls the...


Jonathan Aronie on NDAA 889, Better Known as the Anti-Huawei Act [Podcast]

By Adam Turteltaub “Section 889(a)(1)(A) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 prohibits the Federal Government from procuring or obtaining, or extending or renewing a contract to procure or obtain, ‘any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system.” As Jonathan...


Heidi Rudolph on Compliance and Technology [Podcast]

By Adam Turteltaub Heidi Rudolph, Managing Director at Morae Global, has spent a great deal of time considering technology’s role, risks and rewards for compliance teams. She contributed an article on the subject to the newly released The Complete Compliance and Ethics Manual, and also spent some time talking about it on this podcast. As we all know technology holds great promise for compliance. It can help automate tasks, provide audit trails and train the workforce. But not every...


Mark Lanterman on Cybervigilince and Resiliency [Podcast]

By Adam Turteltaub Mark Lanterman, Chief Technology Officer of Computer Forensic Services lives technology at its most terrifying, helping organizations manage the risks of the IT we all use constantly. Recently he authored an article for the newest edition of The Complete Compliance and Ethics Manual and also sat down to share his knowledge with us via a podcast. In an insight-filled conversation he addresses a wide range of cyber issues, including:...


Jenny O’Brien on Managed Care [Podcast]

By Adam Turteltaub The next HCCA Managed Care Compliance Conference is set to take place January 26-29, 2020 in Lake Buena Vista, Florida. To get a better understanding of what will be discussed we sat down with HCCA Board Member Jenny O’Brien, who is also the Chief Compliance Officer for UnitedHealthcare. As she explains, the conference will cover the bread and butter, day-to-day issues for plan sponsors and the entire managed care community. It...


Matthew Friedman on Supply Chains, Human Trafficking and Modern Slavery [Podcast]

By Adam Turteltaub Matthew Friedman is the CEO of The Mekong Club, an organization supporting the private sector in the fight against modern slavery. Previously he worked for the United Nations Inter-Agency Project on Human Trafficking and US Agency for International Development. He has also been a valuable resource for our Report on Supply Chain Compliance. As he explains in the podcast, there are 16 million people in slavery in the private sector...


Marsha Ershaghi Hames on Compliance Programs Post the DOJ Guidance [Podcast]

By Adam Turteltaub In April 2019 the Criminal Division at the US Department of Justice issued a document outlining how prosecutors should evaluate compliance programs. It has since proven to be a useful tool, helping compliance teams focus their efforts and demonstrating to management that the government takes compliance programs seriously, and has high expectations. Marsha Ershaghi Hames, Managing Director, Strategy & Development at LRN, reports in...


Michael Hershman on the Latest Developments in Anti-Corruption Enforcement [Podcast]

By Adam Turteltaub At one point earlier this year some people in the compliance and anti-corruption community started worrying that US enforcement of the Foreign Corrupt Practices Act (FCPA) had slowed down. But, Michael Hershman, President and CEO of the Fairfax Group, points out in this podcast that the 2019 and 2018 figures are remarkably similar, and there’s even a chance that 2019 will surpass the previous year. The US continues to lead in the...


Alexander Stein on Bringing Psychoanalytic Insight Into Compliance Programs [Podcast]

By Adam Turteltaub Alexander Stein doesn’t approach compliance in a typical way. Instead, as the Founder of Dolus Advisors and Principal in The Boswell Group, he sees it through the lens of his Ph.D. in psychoanalysis. In this podcast, he uses his perspective to cast a different light on the subject of compliance management. For him, it’s not a question of “what were they thinking” when they do something wrong but “Why do you assume that they were...


Ted Banks on Due Diligence in an Acquisition [Podcast]

By Adam Turteltaub During the typical due diligence period for an acquisition, the accountants are all over every financial risk, but compliance-related risks are very real and potentially just as expensive. If compliance isn’t involved it could be very expensive. Ted Banks, a compliance-profession veteran and partner at Scharf, Banks Marmor argues persuasively in this podcast that compliance has to have a seat at the table and dive right in. Once...


Brian Lee on Current Trends in Third Party Risk Management [Podcast]

By Adam Turteltaub In a surprising web conference, Brian Lee, Managing Vice President at Gartner, shares some eye-raising insight into what’s going on when it comes to third-party risk management. Recent research there reveals what he reports to be a disproportionate emphasis on initial due diligence versus ongoing auditing and monitoring. Their research found that organizations typically spend three-fourths of their time on the initial due...


Julie Myers Wood on Ethics Issues in Internal Investigations [Podcast]

By Adam Turteltaub Internal investigations are fraught with complexities, and while it is easy to focus on the practical complications, it’s also important to be aware of the ethical ones as well. In this podcast Julie Myers Wood, CEO of Guidepost Solutions explains that the ethics questions have to be addressed throughout, starting with treating the complainant with respect. That includes being sensitive to the nature of the allegation, particularly...


Lisa Beth Lentini Walker on Compliance Team Leadership and Collaboration [Podcast]

By Adam Turteltaub A compliance program is only as good as its team, and keeping the team operating at its best can be a challenge given the stress and pressure, observes Lisa Beth Lentini Walker, a compliance industry veteran, and CEO and Founder of Lumen Worldwide Endeavors. The problem, she shares in the podcast, is one that’s endemic to the world of risk and partially explains the high rate of turnover. So, how do you succeed as a team leader or...


Johan Thorell and Neil Cullen on Compliance Learning Excellence [Podcast]

By Adam Turteltaub It’s hard to find a company that doesn’t do compliance training and it’s also hard to find a company that isn’t trying to avoid training burnout. Neil Cullen, Director of Client Learning at Interactive Services in Ireland, and Johan Thorell, senior Director EMEA Compliance & Data Privacy at CWT have spent a great deal of time considering this problem. In this podcast -- a preview of their session at the 2020 European Compliance &...


Vigjilenca Abazi and Mary Inman on the EU Whistleblower Directive [Podcast]

By Adam Turteltaub Earlier in 2019, the European Parliament adopted a new EU Whistleblower Directive. To better understand these new rules and their implications we sat down for a discussion with Vigjilenca Abazi, Assistant Professor at Maastricht University and Mary Inman, a partner at the law firm Constantine Cannon LLP, which represents whistleblowers. They will be addressing the EU Whistleblower Directive at the 2020 SCCE European Compliance and...


The FBI on Why and How to Work with the Office of the Private Sector [Podcast]

By Adam Turteltaub The FBI wants you, but it’s not why you think. Spencer Evans, the Section Chief in the Office of the Private Sector (OPS), explains that the OPS is here to help and wants you to get involved. He begins the podcast by explaining that the FBI’s mission is to protect the American people and defend the Constitution. The mandate of OPS, as a part of that mission, is to protect the economic security interest of the US by fostering...


Courtney Blau on the Medicare Access Clause [Podcast]

By Adam Turteltaub The Medicare Access Clause at first glance seems simple. If you are a Medicare provider who has subcontracted patient services (other than equipment and supplies) worth $10,000 or more over a year then you must include in that subcontract a clause “….that allows the Comptroller General of the United States, HHS, and […]


Beth Colling on Embedding the Compliance Program to Ensure Support and Buy In [Podcast]

By Adam Turteltaub It’s not easy getting buy-in for a compliance and ethics program. Too often people feel as if they already know the information or see compliance as unduly expensive and unnecessary. Beth Colling, Vice President and Chief Compliance Officer, CDM Smith argues in this podcast that compliance teams need to think like […]