Trekking Through Compliance

In this episode of Trekking Through Compliance, we consider the episode Requiem for Methuselah which aired on February 14, 1969 and Star Date 5843.7.

Compliance Takeaways:Sometimes a CCO must make a stand and speak truth to power.Why it is important to bring investment into decision making.Practice yet even with practice, things can still go awry.

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In this episode of Trekking Through Compliance, we consider the episode The Lights of Zetar which aired on January 31, 1969, Star Date 5725.3.

Compliance Takeaways:

What is your internal reporting mechanism?Have you trained your managers to deal with complaints?What is your triage for complaints? 

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In this episode of Trekking Through Compliance, we consider the episode That Which Survives which aired on January 24, 1969, Star Date unknown.

Compliance Takeaways:

What is your risk tolerance?How do you manage sales risk?How does your Board look at risk?

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In this episode of Trekking Through Compliance, we consider the episode The Mark of Gideon which aired on January 11, 1969, Star Date 5423.4.

Compliance Takeaways:

Why is compliance needed at the Board level?How do you promote middle management up to senior management?What is your triage protocol?

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In this episode of Trekking Through Compliance, we consider the episode Let That Be Your Last Battlefield which aired on January 10, 1969, Star Date 5730.2.

Compliance Takeaways:

Why language translation is so important.The role of compliance in creating safe work places.Why should you do business with ethical companies?

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In this episode of Trekking Through Compliance, we consider the episode Whom Gods Destroy which aired on January 3, 1969, Star Date 5718.3.

Compliance Takeaways:

Do you have audit rights and do you exercise them?High risk does not mean you cannot move forward, it means you must have a robust risk management strategy.Do you go with facts or your gut in decision making?

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In this episode of Trekking Through Compliance, we consider the episode Elan of Troyius which aired on December 20, 1968, Star Date 4372.5.

Compliance Takeaways:Do you perform continuous monitoring of your 3rd parties?How deep does your 3rd party investigation go?How culturally astute is your compliance regime?

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In this episode of Trekking Through Compliance, we consider the episode The Empath which aired on December 6, 1968, Star Date 5121.0.

Compliance Takeaways:

What is a gap analysis?Who should be on your investigation team?What is the Board of Director’s role in hiring?

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In this episode of Trekking Through Compliance, we consider the episode Wink of an Eye which aired on November 29, 1968, Star Date 5710.5.

Compliance Takeaways:

What questions should your Board be asking?As CCO, who do you report to?How tone at the top impacts your entire organization.

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In this episode of Trekking Through Compliance, we consider the episode Plato’s Stepchildrenwhich aired on November 22, 1968, Star Date 5784.

Compliance Takeaways:

Power corrupts and absolute power still corrupts absolutely, even in the 23rdDo you allow internal control over-rise?What happens when senior management is in on the illegal conduct?

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