In this episode, I visit with Duke Law School Professor Samuel Buell about his book Capital Offenses-Business Crime and Punishment in America’s Corporate Age. We explore some of his theories on why corporations are so difficult to prosecute, what corruptly means under the FCPA and his ideas on potential reforms.

Why were are corporate criminal prosecutions so difficult? Prof. Sam Buell explains why with Capital Offenses.

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In this first part of a two-podcast series, taped live at SCCE’s 15th Annual Compliance & Ethics Institute, Roy and myself get a chance to interact with a live audience and bounce from topic to topic, discussing:

Check out the first live audience podcast recording of Unfair and Unbalanced, recorded at SCCE 2016 CEI.

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In today’s podcast I chat with Alison Taylor, Director of Advisory Services at BSR, a global nonprofit organization that works with its network of more than 250 member companies and other partners to build a just and sustainable world. Alison, along with Sara Enright, is the co-author of a recent BSR Research Report entitled, “The Future of Stakeholder Engagement”, subtitled of Business Leadership for an Inclusive Economy. We discuss several issues raised by the Research Report, including What does stakeholder engagement mean in the 21st century? How has topic gained such traction over the past few years? What is the role of the compliance professional in stakeholder engagement? How does increased stakeholder engagement help to make companies stronger, more efficient and most critically more profitable?

How can you position your company to receive the benefits of 21st century stakeholder engagement?

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In this episode, Matt Kelly and I discuss the differences between SOX 404 reporting controls and 302 disclosure controls. We then pivot to a discussion of the potential merging of the COSO 2013 Framework for controls with the COSO ERM Framework currently in the public comment period.

Check out Matt’s blogs posts on these topics:

Go deep into the compliance weeds on SOX & ERM this week with Tom Fox and Matt Kelly.

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Software platforms can provide a lot of efficiencies such as a reduction of time, resources and a more manageable audit trail. Still, software cannot do everything. Subject matter expertise is still essential to building a quality supplier risk management programme.

Combining the right platform with bench strength will lead to better risk analysis and supplier communications.

Jared and I will explore these topics further in a Red Flag Group Webinar on Thursday, October 20 at 10 AM CDT. You can register by clicking here.

What tech solutions should you incorporate into your supply chain risk management program?

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In this episode I visit with WSJ MarketWatch reporter Francine McKenna on the recently concluded Taylor Bean litigation against PwC and what it might mean for the Big 3 going forward.

What does the Taylor Bean litigation mean for the Big 3 going forward?

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Show Notes.

In this episode, I visit with Mike Scher on our upcoming panel at the FCPA Blog NYC Conference on Oct. 26th. We preview our panel by looking at the compliance response to the Wells Fargo scandal in the context of whom does the CCO represent. For more information about the conference, you can check out the FCPA Blog, by clicking here. The best part is if you are a listener to this podcast, you can receive a 20% discount by clicking here.

To review the blogs posts referenced in this podcast see the following:

How should compliance officers handle the Wells Fargo scenario?

Three Questions for Wells Fargo

Part I-What is Risk?

Part II-Tones at the Tops

Part III-The Bank Knew All Along

Part IV-Senior Management, the Board and Corporate Governance Issues

Part V-Compliance is the Answer

How should the compliance function have handled the Wells Fargo scandal?

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Show Notes:

In this episode, I visit with Samuel Buell, a professor at Duke University Law School. He chat on his piece in Slate online magazine entitled “Prosecuting Wells Fargo Executives Won’t Solve Anything’ and he should know as Prof. Buell helped prosecute the executives at the center of Enron. We discuss the deficiencies in criminal law for such prosecutions and discuss how the corporate form is designed to diffuse responsibility and liability in a corporation.

Corp criminal law is ill-suited to pursue the Wells Fargo executives involved in the fraudulent accounts scandal.

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In this episode I continue my conversation with compliance experts Matt Kelly, Mike Volkov and Jonathan Armstrong from the SCCE 2016 Compliance and Ethics Institute. We visit about the following topics: (1) Parallel tracks of sessions at SCCE events for different levels of compliance practitioners; (2) should the compliance function be involved with executive compensation issues and clawbacks; (3) Tom’s highlights of the SCCE Compliance Award winners; (4) the difference between SCCE and FCPA corridor events; (5) will universities answer the call for academic training for compliance professionals; (6) are companies continuing to make the same mistakes over and over leading to continued FCPA enforcement actions; (7) what is the Board of Directors’ role in compliance; (8) Jonathan Armstrong discusses the change in perceptions around the UK Serious Fraud Office and enforcement of the UK Bribery Act; and (9) human trafficking in the US.

Hear Tom Fox, Matt Kelly, Mike Volkov and Jonathan Armstrong discusses the day’s top compliance issues.

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In this episode, I sit down with 4 top compliance commentators to discuss the SCCE 2016 Compliance and Ethics Institute conference. The panelists include Jay Rosen, Jonathan Armstrong, Mike Volkov and Matt Kelly. We discuss our presentations and observations on the  attendees.