Compliance Perspectives

By Adam Turteltaub

Much of the attention paid to the European General Data Protection Regulation (GDPR) and its impact for online marketing has been focused on safeguarding data, disclosing cookies and email communications with customers.  But, that’s not all there is to it.

As David Wright, the Director of the UK Safer Internet Center explains, the GDPR has a number of specific provisions that affect interactions between businesses and children.  And while the GDPR provides pan-European directives, it leaves room for state by state variations.  That makes living up to its requirements a bit more challenging for compliance teams.

Making matters more complex, the GDPR isn’t the only new law to worry about.  The UK government is likely to introduce additional legislation designed to safeguard children.

To better understand the challenge and what the compliance team needs to think about for everything from age verification to terms and conditions, spend some time listening to this podcast.  Then, if you’re interested in downloading the UK government’s guidance on children’s safety online that David refers to in the podcast, simply follow this link.

By Adam Turteltaub

SCCE International Academy faculty member Louis Perold is based in South Africa, where he is a compliance officer for Jabil.  From there he has a unique perspective on the compliance challenges facing his home country and all of Africa.

While the two of us were in Singapore for the Academy there, Louis took time away to share what is going on across the continent.  Listen in as he discusses:

* The rising importance and challenges of privacy regimes

* Ongoing issues in anti-corruption

* The difficulties of implementing First World requirements in Third World environments

* Working in an environment of constant change

* The need to understand the local political environment, laws and customs

By Adam Turteltaub

SCCE International Academy faculty member Louis Perold is based in South Africa, where he is a compliance officer for Jabil.  From there he has a unique perspective on the compliance challenges facing his home country and all of Africa.

While the two of us were in Singapore for the Academy there, Louis took time away to share what is going on across the continent.  Listen in as he discusses:

* The rising importance and challenges of privacy regimes

* Ongoing issues in anti-corruption

* The difficulties of implementing First World requirements in Third World environments

* Working in an environment of constant change

* The need to understand the local political environment, laws and customs

By Adam Turteltaub

Louis Perold of Jabil is a member of the faculty for the SCCE International Basic Compliance and Ethics Academies.  One of the topics he addresses there is compliance infrastructure.  It’s a nuts and bolts session that lays the foundation for compliance work.

On this podcast, Louis takes us through the steps for creating the right infrastructure (hint:  start with the seven elements and then secure board buy in).  From there he explains what to look for in your staff as well as skills you can “borrow” from other departments.  And, finally, he addresses what to think about as your program grows, managing costs, and how you can better align your compliance program with the business, including keeping the support of leadership.

Listen in to ensure your compliance program is resting on the right foundation.

By Adam Turteltaub

Louis Perold of Jabil is a member of the faculty for the SCCE International Basic Compliance and Ethics Academies.  One of the topics he addresses there is compliance infrastructure.  It’s a nuts and bolts session that lays the foundation for compliance work.

On this podcast, Louis takes us through the steps for creating the right infrastructure (hint:  start with the seven elements and then secure board buy in).  From there he explains what to look for in your staff as well as skills you can “borrow” from other departments.  And, finally, he addresses what to think about as your program grows, managing costs, and how you can better align your compliance program with the business, including keeping the support of leadership.

Listen in to ensure your compliance program is resting on the right foundation.

By Adam Turteltaub

When assessing global compliance risks, anti-corruption issues tend to grab the headlines, but they are far from the only concern.  Trade sanctions, which are risk with complexity can be an enormous challenge for organizations.

Kerry Contini, a partner in the Washington, DC office of the firm Baker McKenzie explains in this podcast that there are three kinds of sanctions:  embargoes, targeted, and restricted parties.  Embargoes are the simplest to understand since entire countries, such as Cuba and North Korea, are included.  But, beyond that, it gets more complicated, requiring companies to know who the individuals are in a deal that they are doing.

If a Specially Designated National (SDN) owns more than 50% of a company, then it could be illegal for you to sell to it.  That’s a challenge since it’s not easy to get that ownership information, given opaque business structures, especially in a country like Russia.

Likewise, a sale may not be permissible if the destination of the goods sold is a place like Crimea, or if the goods are intended for certain energy projects.

Listen in to the podcast to better understand the pitfalls of trade sanctions, and how you can better manage this dangerous compliance risk area.

By Adam Turteltaub

When assessing global compliance risks, anti-corruption issues tend to grab the headlines, but they are far from the only concern.  Trade sanctions, which are risk with complexity can be an enormous challenge for organizations.

Kerry Contini, a partner in the Washington, DC office of the firm Baker McKenzie explains in this podcast that there are three kinds of sanctions:  embargoes, targeted, and restricted parties.  Embargoes are the simplest to understand since entire countries, such as Cuba and North Korea, are included.  But, beyond that, it gets more complicated, requiring companies to know who the individuals are in a deal that they are doing.

If a Specially Designated National (SDN) owns more than 50% of a company, then it could be illegal for you to sell to it.  That’s a challenge since it’s not easy to get that ownership information, given opaque business structures, especially in a country like Russia.

Likewise, a sale may not be permissible if the destination of the goods sold is a place like Crimea, or if the goods are intended for certain energy projects.

Listen in to the podcast to better understand the pitfalls of trade sanctions, and how you can better manage this dangerous compliance risk area.

By Adam Turteltaub

Most everything related to healthcare compliance quickly grows complex, including physician payments.  While it would seem simple, each payment brings waves of complexity, with some organizations having more than a dozen steps in the process.

As Ludi President Gail Peace explains, it’s not surprising.  Stark Law and Anti-Kickback are complex, and there has been an uptick in individual prosecutions since the Yates memo.

It behooves organizations, she argues, to start thinking proactively and look at their processes, structure and accountability when it comes to physician payments.  This includes:

* Looking at Lean Six Sigma to streamline efforts and remove unnecessary costs

* Considering a physician spend management department

* Recognizing that the physician contract is but the start of the process

Listen in to learn more about how to manage the complexity of physician payments.

By Adam Turteltaub

Most everything related to healthcare compliance quickly grows complex, including physician payments.  While it would seem simple, each payment brings waves of complexity, with some organizations having more than a dozen steps in the process.

As Ludi President Gail Peace explains, it’s not surprising.  Stark Law and Anti-Kickback are complex, and there has been an uptick in individual prosecutions since the Yates memo.

It behooves organizations, she argues, to start thinking proactively and look at their processes, structure and accountability when it comes to physician payments.  This includes:

* Looking at Lean Six Sigma to streamline efforts and remove unnecessary costs

* Considering a physician spend management department

* Recognizing that the physician contract is but the start of the process

Listen in to learn more about how to manage the complexity of physician payments.

By Adam Turteltaub

Garrett Reisman has spent 107 days in space.  He is the former Director of Space Flight Operations at SpaceX and is currently a Special Advisor there.  He is also a professor of engineering at USC.

What does that have to do with compliance?  Surprisingly a great deal.  In this podcast, Garrett shows how three of NASA’s catastrophe’s – Apollo 1, the Challenger and Columbia – had several factors in common, and how similar they are to risks every compliance team may someday face.

Those risks include:

* The normalization of deviance: something that shouldn’t happen did over and over again, without negative consequences over a long period of time.  After getting away with it for a long time, it becomes normal, until something very bad happens.

* Schedule pressure: while well-intentioned, it can lead to decisions that have disastrous consequences.

* Discouraging dissent: by stifling criticism and telegraphing what management wanted to hear, warnings are unheeded and whistleblowers are hesitant to come forward

Listen in for some fascinating insights into spaceflight, its risk, and what compliance teams can learn from them.