『Trekking Through Compliance』のカバーアート

Trekking Through Compliance

Trekking Through Compliance

著者： Thomas Fox
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 In this podcast series Tom Fox explores compliance through the lens of Star Trek - The Original Series in a 79-episode offering, movies and contemporary television shows. Each podcast reviews the episode creative team, story synopsis and three key lessons learned on compliance, leadership and governance. If you love Star Trek, this is the podcast series for you. So, listen over the next 79 episodes, revisit one of television’s great achievements and learn how you can use Star Trek to improve your corporate compliance program, as well as yourself as a compliance professional. We are going to have some fun.2019 アート マネジメント マネジメント・リーダーシップ 経済学
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  • Episode 79 - Beneath the Surface: Turnabout Intruder and the Hunt for Root Causes

    Episode 79 - Beneath the Surface: Turnabout Intruder and the Hunt for Root Causes
    2025/08/18
    One of the Department of Justice’s most consistent themes in its 2024 ⁠Update to the Evaluation of Corporate Compliance Programs⁠ (ECCP) is the need for companies to conduct effective root cause analysis following misconduct or control failures. It’s not enough to identify what went wrong; you must understand why it happened and implement measures to prevent it from happening again. For compliance professionals, the episode is a surprisingly apt case study in the perils of failing to dig past the surface when something seems off. Just as the crew needed to piece together the real cause of their captain’s strange behavior, compliance teams must be adept at peeling back layers to discover the true root cause of problems. Here are five key root cause analysis lessons from Turnabout Intruder. Lesson 1: Unusual Behavior Should Trigger an Investigation Illustrated by: Shortly after the mind swap, “Kirk” begins making uncharacteristic decisions, belittling subordinates, ignoring Starfleet protocols, and punishing dissent in ways that are completely out of character for the captain. Compliance Lesson: Behavior that deviates from established patterns should be a red flag. In corporate compliance, abrupt changes, whether in employee conduct, financial reporting patterns, or transaction activity, often indicate deeper issues. Lesson 2: Multiple Data Points Build a Stronger Case Illustrated by: Several crew members—Spock, McCoy, Scotty—each notice something odd about “Kirk.” Only when they share information do they begin to see a pattern that suggests something is seriously wrong. Compliance Lesson. Root cause analysis is stronger when it integrates multiple perspectives and sources of data. If you rely on a single source, one audit, one complaint, you risk drawing incomplete or biased conclusions. Lesson 3: Be Alert to Hidden Motives Illustrated by: In Kirk’s body, Lester uses her new authority to sideline suspected opponents, reassigning or threatening crew who question her behavior. Compliance Lesson. The apparent cause of a problem may mask deeper personal or organizational motives. Misconduct often occurs because someone is pursuing goals that conflict with corporate policy, whether financial gain, personal vendettas, or reputational enhancement. Lesson 4: Authority Structures Can Delay Recognition of the Problem Illustrated by: Even when evidence mounts, the crew is reluctant to challenge “Kirk” because of the chain of command. Compliance Lesson. In organizations, hierarchy can be a barrier to identifying root causes. Employees may hesitate to report misconduct by senior leaders, or they may assume questionable directives are “above their pay grade” to question. Lesson 5: Validate Assumptions Before Acting Illustrated by: Spock eventually confronts “Kirk” and demands an explanation. Through logical analysis and a mind meld, he confirms the body-swap truth. Compliance Lesson. One of the biggest pitfalls in root cause analysis is acting on unverified assumptions. If you jump to conclusions too early, you may “fix” the wrong problem—or make it worse. Final ComplianceLog Reflections In Turnabout Intruder, the crew’s slow realization of the true problem nearly cost them their captain and perhaps the Enterprise itself. In the compliance arena, a slow or shallow root cause analysis can allow misconduct to persist, control weaknesses to remain unaddressed, and systemic issues to metastasize. Effective compliance leadership means not just spotting what’s wrong but relentlessly pursuing why it went wrong. That’s how you fix the problem in a way that prevents recurrence. Resources: ⁠⁠Excruciatingly Detailed Plot Summary by Eric W. Weisstein⁠⁠ ⁠⁠MissionLogPodcast.com⁠⁠ ⁠⁠Memory Alpha Learn more about your ad choices. Visit megaphone.fm/adchoices
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    12 分
  • Episode 77 - Through the Atavachron: Risk Management Insights from All Our Yesterdays

    Episode 77 - Through the Atavachron: Risk Management Insights from All Our Yesterdays
    2025/08/17
    When you think of Star Trek: The Original Series, certain episodes stand out for their moral clarity, exploration of ethics, and leadership lessons. Others, like All Our Yesterdays, are more subtle but no less rich in compliance and risk management insights. As the story unfolds, the episode reveals more than just a sci-fi adventure; it presents a compelling case study in the importance of preparation, situational awareness, adaptability, and decision-making under pressure. For the compliance professional, All Our Yesterdays offers five key risk management lessons that are as relevant in the boardroom as they are in a time-portal crisis. Lesson 1: Understand the Operating Environment Before You Act Illustrated by: Kirk, Spock, and McCoy don’t fully grasp that the Atavachron sends people into different periods, permanently altering them to survive there, until after they have stepped through the portals. Compliance Lesson. One of the most preventable compliance failures happens when leaders act without fully understanding the operational landscape. Lesson 2: Know the Long-Term Consequences of Your Decisions Illustrated by: Atoz explains that once a traveler passes through the Atavachron, they undergo physiological changes to survive in the chosen period. Returning without those adaptations can be fatal. Compliance Lesson. Compliance decisions, especially around risk tolerance, often have long-term and sometimes irreversible consequences. For example, approving a high-risk third party because “we need them for this deal” can embed systemic vulnerabilities that are difficult to unwind later. Lesson 3: Adapt Your Strategy to Changing Conditions Illustrated by: Spock, under the influence of the prehistoric era, begins to revert to the more emotional mindset of ancient Vulcans, displaying anger, impatience, and even affection for Zarabeth, a woman trapped in that time Compliance Lesson. Risk environments are dynamic. Market conditions shift, laws change, counterparties evolve, and cultural contexts can reshape behavior, sometimes subtly, sometimes dramatically. Lesson 4: Factor in Human Behavior When Assessing Risk Illustrated by: Zarabeth tells Spock and McCoy they can never return to their own time, a claim that at first appears to be based on Atoz’s rules but is also shaped by her emotional motives. Compliance Lesson. Risk management isn’t just about numbers, metrics, or legal frameworks—it’s about people, their incentives, and their biases. Lesson 5: Time Is a Critical Risk Variable Illustrated by: The central urgency in All Our Yesterdays comes from the imminent nova of Sarpeidon’s sun. For Kirk, Spock, and McCoy, the clock is ticking. Compliance Lesson. In compliance risk management, timing is often the difference between proactive control and reactive crisis. Final Compliance Reflections All Our Yesterdays may be set in a science fiction universe, but its lessons are firmly grounded in the reality of corporate compliance. Every compliance officer will, at some point, face the equivalent of a ticking sun about to go nova, a high-stakes situation where incomplete information, shifting conditions, human bias, and the relentless march of time intersect. Remember, you may not have an Atavachron in your compliance toolkit, but you do have the power to choose which “yesterday” you’ll prepare for today. The right risk management approach ensures that, when the heat is on, your organization is not scrambling for the exit portal as it’s already where it needs to be. Resources: ⁠⁠Excruciatingly Detailed Plot Summary by Eric W. Weisstein⁠⁠ ⁠⁠MissionLogPodcast.com⁠⁠ ⁠⁠Memory Alpha Learn more about your ad choices. Visit megaphone.fm/adchoices
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    13 分
  • Episode 76 - Compliance Lessons from The Savage Curtain

    Episode 76 - Compliance Lessons from The Savage Curtain
    2025/08/16
    “Risk is our business.” That famous Star Trek line could have been the mission statement for the crew of the USS Enterprise, but in The Savage Curtain, the stakes go beyond exploration. In this third-season episode, Captain Kirk and Mr. Spock find themselves on an alien world where the inhabitants are exceedingly powerful rock-like beings called the Excalbians. They wish to understand the human concept of “good” versus “evil.” For compliance professionals, this episode is not simply entertaining television. It is a cautionary tale about strategy, values, and decision-making under artificial constraints. Let’s break down five key compliance lessons drawn from specific scenes in this episode. Lesson 1: Don’t Let Others Define Your Risk Framework Illustrated by: The Excalbians set the rules: neither side chooses the battle or the stakes; an outside force imposes the game. Compliance Lesson. In corporate compliance, outside parties, whether regulators, counterparties, or even internal leadership, will often try to define the rules of engagement for you. The DOJ, SEC, or FCA may issue guidance, but how you operationalize compliance must be tailored to your actual risk environment. Lesson 2: Values Are Not Negotiable—Even in Crisis Illustrated by: Surak refuses to fight, insisting on diplomacy, even in the face of certain danger. Compliance Lesson. Surak’s actions remind us that integrity is not situational. Compliance officers are often tested during crises, such as internal investigations, regulatory inquiries, or public scandals. Lesson 3: Understand the Motivation of Counterparties Illustrated by: Colonel Green’s playbook is deception, appearing cooperative while preparing for betrayal. Compliance Lesson. Whether in third-party due diligence or merger negotiations, understanding your counterpart’s motivations is critical. Many compliance failures stem from taking partners at their word without sufficient verification. Lesson 4: Artificial Constraints Can Lead to Poor Decision-Making Illustrated by: The Excalbians insist on the “fight to the death” framework, creating an artificial zero-sum game. Compliance Lesson. In corporate life, artificial constraints abound, such as budgets, headcount limits, and executive impatience, which can all restrict compliance’s ability to operate effectively. But as in Kirk’s case, the right move may be to challenge the premise rather than optimize within it. Lesson 5: Your Team Matters as Much as Your Tactics Illustrated by: Kirk’s team, himself, Spock, Lincoln, and Surak are thrown together without preparation. The balance between them becomes the key to surviving long enough to disrupt the “game.” Compliance Lesson. A compliance program’s strength is often determined by the diversity and capability of the team executing it. You need investigators who can dig into allegations, trainers who can communicate policy effectively, and analysts who can interpret data for early risk detection. Final ComplianceLog Reflections The Savage Curtain is a study in imposed frameworks, moral steadfastness, and tactical adaptability. It challenges the viewer and the compliance professional to think beyond the rules handed down by external forces and to operate from a foundation of values and strategic thinking. Compliance is not a spectator sport. One cannot simply sit back and hope “good” will automatically prevail over “evil.” Like Kirk, you must assess the terrain, understand your adversaries, hold fast to your principles, and adapt your strategy as the situation evolves. Resources: ⁠⁠Excruciatingly Detailed Plot Summary by Eric W. Weisstein⁠⁠ ⁠⁠MissionLogPodcast.com⁠⁠ ⁠⁠Memory Alpha Learn more about your ad choices. Visit megaphone.fm/adchoices
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    10 分
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