Trekking Through Compliance

In this episode of Trekking Through Compliance, we consider the episode The Apple  which aired on October 13, 1967, Star Date 3715.0.

 Compliance Takeaways:

How do you validate that your policies are being followed?If Red Shirts are always going to die, how do you manage that risk?What is the Board of Director’s role in compliance?

Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode Mirror Mirror which aired on October 6, 1967, Star Date unknown.

Compliance Takeaways:

Tone really does start at the top.How do you change your compliance functions within an organization?High risk requires high risk management. 

Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode The Changeling which aired on September 29, 1967, Star Date 3451.9.

Compliance Takeaways:

Leadership is listening.What is your procedure for updating policies?How often do you perform a risk assessment?

Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode Who Mourns for Adonais? which aired on September 22, 1967, Star Date 3468.1.

Compliance Takeaways:

What is your role in an investigation?How does your senior management demonstrate tone?What are the true incentives in your organization?

Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode Amok Time which aired on September 15, 1967, Star Date 3372.7.

 Compliance Takeaways:

What is your investigation protocol?How do you account for different cultures within your organization?When is an internal control override appropriate?

Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode Operation Annihilate! which aired on April 13, 1967, Star Date 3287.2.

Compliance Takeaways:

Leadership can require difficult decisions.Data analytics will be key for compliance professionals going forward.What is your triage program for internal reporting?

Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode City on the Edge of Forever which aired on April 6, 1967, Star Date 3134.

Compliance Takeaways:

Small accidents and changes can lead to huge consequences.You can get a lot more done, if you don’t worry about who gets credit.How much can you do with the tools you have at hand?

Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode The Alternative Factor which aired on March 23, 1967, Star Date 3087.6.

Compliance Takeaways:1.   How do you triage a whistleblower compliant?2.   When expanding into new markets scale up your compliance program.3.   What is the role of gatekeepers?

Learn more about your ad choices. Visit megaphone.fm/adchoices

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:

In an investigation, trust but verify.If your subsidiary’s financial statements are too complicated to decipher, you have a problem.Do you know how far down your TPIs extend?

Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode Devil in the Dark which aired on March 9, 1967, Star Date 3196.1.

Compliance Takeaways:What is your root cause analysis?Have you analyzed your internal controls from the compliance perspective?Simply because something is different doesn’t means its wrong or illegal. Is there a business justification?

Learn more about your ad choices. Visit megaphone.fm/adchoices