Legal News

In this episode of Trekking Through Compliance, we consider the episode The Omega Glory which aired on March 1, 1968, Star Date unknown. Compliance Takeaways: How well is your staff trained? How well are your business folks trained? What is your disciplinary process?...By: Thomas Fox

In this episode, I visit with Don Stern, Managing Director of Corporate Monitoring & Consulting Services. We explore how to go about assessing ethics and compliance in the mergers and acquisition (M&A) context and  the impact that M&A has on both the acquired entity and the acquirer. Stern began by noting the inherent risk in the entire M&A process. Yet,  the culture perspective is not often considered in the pre-acquisition phase. Stern believes companies are making a big mistake in doing so......

Welcome to the newest addition to the Compliance Podcast Network, Compliance and Coronavirus. In this episode, I visit Dr. Gleb Tsipursky, who is known as the Disaster Avoidance Expert. He has over 20 years of experience dramatically empowering leaders and organizations to avoid business disasters by addressing potential threats, maximizing unexpected opportunities, and resolving persistent personnel problems. Dr. Tsipursky is a bestselling author of several books, including on avoiding...By: T...

Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley. Lisa and Mary are always very pleased to get recommendations for guests to speak on the podcast.  It is however rare to get multiple suggestions for the same person, but Asha Palmer is so renowned that she did!  This episode starts off by telling the story of Asha’s overseas working experience teaching ethics at university in the Middle East. An expert at creating and evaluating risk assessments and...B...

In this episode of Trekking Through Compliance, we consider the episode The Doomsday Machine which aired on October 20, 1967, Star Date 4202.9. Compliance Takeaways: How do you terminate a third party? How do you evaluate your risk assessment? How does your organization respond to findings in an investigation?...By: Thomas Fox

Welcome to the newest addition to the Compliance Podcast Network, Compliance and Coronavirus. In this episode, I visit with Bill Sanders on issues the speed of business change brought on by Covid-19. These issues include how Sanders sees Covid-19 accelerating business change and the 3 things which a person or company can do to prepare for the future of work. We conclude with a discussion of what I see as an upsurge in M&A in Q3 & Q4 and the advice Sanders is you giving out now to prepare...By: T...

Welcome to this special podcast series “In Conversation with K2 Intelligence FIN: Navigating an Increasingly Complex Sanctions Landscape”. This series is sponsored by K2 Intelligence, LLC. This week I visit with Adam Frey, Managing Director, and Eric Lorber, Vice President at K2 Intelligence Financial Integrity Network (FIN). Frey is a key member of the firm’s independent consultant team, at the direction of federal, state, and/or international regulators, he works to monitor and assess......

In this  episode I visit with Vin DiCianni on how ethical culture is a part of an overall ethics and compliance program assessment and how to go about it. We began with an exploration around the areas assessed to help determine if a company has an ethical culture. DiCianni said you need a framework for such an assessment. DiCianni advocates  starting with the program itself. This means a review of what does the organization’s compliance program look like and does it meet the foundational...By: ...

In this episode of Trekking Through Compliance, we consider the episode Errand of Mercy which aired on March 16, 1967, Star Date 3194.8 Compliance Takeaways: 1. In an investigation, trust but verify. 2. If your subsidiary’s financial statements are too complicated to decipher, you have a problem. 3. Do you know how far down your TPIs extend?...By: Thomas Fox