『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 65-Warp-Speed M&A Risks: Hidden Compliance Lessons from “Wink of an Eye”

    Episode 65-Warp-Speed M&A Risks: Hidden Compliance Lessons from “Wink of an Eye”
    2025/08/05
    Today, we’re setting our sensors on one of Star Trek: The Original Series’ most thought-provoking episodes—“Wink of an Eye.” While this story may not feature the grand courtrooms or battlefields you might expect for lessons in compliance, it’s a goldmine for any compliance officer, in-house counsel, or business leader navigating the perilous and the rapidly accelerating world of mergers and acquisitions. In the world of M&A, deals can go from zero to warp speed in the blink of an eye, and those left operating in “normal” time often find themselves blindsided by risks, unseen motives, and cultural misalignments. Today we use the lens of “Wink of an Eye” to explore five critical M&A lessons for today’s compliance professional. 1. Beware the Dangers of Unseen Agendas Illustrated By: The Scalosians are present, but moving too fast to be detected; observing, manipulating, and acting without the crew’s awareness. Compliance M&A Lesson. In every M&A transaction, there are risks and agendas that may not be immediately visible. 2. Speed Kills—Or at Least, Blindsides Illustrated By: Captain Kirk and his crew are thrust into a reality where the Scalosians’ actions occur at warp speed. Compliance M&A Lesson. Pressure to “get the deal done” quickly is endemic in today’s market. Boardroom bravado, aggressive timelines, or fear of losing out to a competitor can push compliance to the backburner. 3. Cultural Misalignment Can Doom Even the Smartest Teams Illustrated By: Kirk, once accelerated, finds himself isolated, unable to communicate or coordinate with his crew, who remain “out of phase.” The gulf between realities leads to mistrust, confusion, and near-catastrophe. Compliance M&A Lesson. One of the most underestimated risks in any deal is cultural misalignment. 4. Technology—Friend, Foe, or Trojan Horse? Illustrated By: The Scalosians secretly tamper with the Enterprise’s environmental systems, seeking to convert the crew and ship to their needs. Compliance M&A Lesson. Every acquisition brings a technology integration challenge and, with it, a potential compliance nightmare. Legacy systems may be vulnerable, riddled with security holes, or subject to data localization rules you never anticipated. 5. Communication Is the Antidote to Chaos Illustrated By: As chaos mounts, Kirk finds creative ways to bridge the communication divide—leaving clues and working with Spock to slow himself down, eventually restoring balance to the ship. Compliance M&A Lesson. All too often, compliance is left out of critical conversations during a deal or brought in too late, when the train has already left the station. Information silos, unclear chains of command, or poor stakeholder engagement leave gaps where risk thrives. Final ComplianceLog Reflections “Wink of an Eye” is more than a sci-fi tale of hyper-acceleration and hidden threats. It’s a vivid parable for compliance officers tasked with shepherding organizations through the labyrinth of mergers and acquisitions. When the pace picks up and risks move faster than you can see, it’s easy to lose sight of the fundamentals. But as Star Trek teaches us, it’s precisely at these moments that discipline, vigilance, and creativity matter most. In the ever-accelerating world of M&A, compliance is the brake which allows your ship to arrive safely, whatever the speed of your journey. So, the next time your organization beams into a new deal, ask yourself: Are you seeing the whole picture or missing the real action because it’s moving at the speed of a wink? Learn more about your ad choices. Visit megaphone.fm/adchoices
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    10 分
  • Episode 64 - Breaking the Silence: Navigating Difficult Conversations with Wisdom from ‘Plato’s Step-Children’

    Episode 64 - Breaking the Silence: Navigating Difficult Conversations with Wisdom from ‘Plato’s Step-Children’
    2025/08/04
    There is no substitute for courage and candor in the world of corporate compliance. Some of the most vital and uncomfortable moments we encounter come when we must have conversations on difficult topics. It can be about misconduct, bias, bullying, or toxic behavior that threatens our organization’s culture and integrity. Yet, all too often, leaders and compliance professionals look for a way around these tough talks, hoping problems will resolve themselves. Few television episodes confront the consequences of unchecked power, humiliation, and silence more starkly than Star Trek: The Original Series’ “Plato’s Step-Children.” Let’s draw five critical compliance lessons, grounded in five key scenes, from this infamous episode to guide our own approach to conversations on difficult topics. Lesson 1: Name the Unacceptable—Don’t Look Away Illustrated By: Alexander, the only member without telekinetic power, is humiliated and abused by his peers, is often forced to grovel or perform for their amusement. Compliance Lesson: The first, hardest step in any conversation on difficult topics is simply to acknowledge unacceptable behavior. The compliance professional’s duty is to name the unacceptable, break the code of silence, and show the courage to call out abuse—even when it makes others uncomfortable. Lesson 2: Empathize with the Vulnerable—Center Their Voice Illustrated By: Alexander, the outcast, repeatedly begs Kirk and the crew for help, expressing pain and isolation. His vulnerability is palpable, he has suffered for years, dismissed by his peers and unseen by those in power. Compliance Lesson: In every organization, there are individuals often in less powerful positions who experience harm most acutely. When confronting a difficult subject, the compliance leader’s job is to center the voices and experiences of those most at risk, not the comfort of those in power. Lesson 3: Address Abuse of Power—Challenge the Bully Illustrated By: The Platonians, particularly Parmen, take delight in using their power to force Kirk, Spock, and others to perform degrading acts. Compliance Lesson: One of the hardest conversations in compliance is confronting those who abuse their authority. Power imbalances often shield perpetrators from scrutiny. “Plato’s Step-Children” is an explicit reminder that leadership’s job is to challenge not enable bullying, coercion, or harassment. Lesson 4: Support Each Other—Build Allies in Conversations on difficult topics Illustrated By: Even when stripped of control, Kirk and Spock’s teamwork and solidarity allow them to resist psychological breaking and maintain a sense of dignity. Compliance Lesson: Conversations on difficult topics should not be approached alone, building a coalition; whether HR, legal, or trusted colleagues, can provide the strength, perspective, and backup needed to sustain the effort. Lesson 5: Restore Dignity—End the Cycle of Harm Illustrated By: In one of the episode’s most disturbing scenes, Kirk, Spock, Uhura, and Chapel are forced into humiliating, non-consensual acts. The Enterprise crew refuses to retaliate in kind when they gain the upper hand. The episode concludes not with vengeance, but with an insistence on dignity and ethical conduct. Compliance Lesson: The ultimate goal of any conversation on difficult topics, especially those about harm or misconduct, is restoration and prevention. Final ComplianceLog Reflections Conversation on difficult topics are not just a leadership skill, they are the very foundation of a culture of integrity. When we name abuse, center the vulnerable, challenge power, support each other, and restore dignity, we transform moments of pain into turning points for progress. Learn more about your ad choices. Visit megaphone.fm/adchoices
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    10 分
  • Episode 63 - Untangling the Unknown: Investigative Excellence from ‘The Tholian Web’”

    Episode 63 - Untangling the Unknown: Investigative Excellence from ‘The Tholian Web’”
    2025/08/03
    If you ask any veteran compliance professional what separates the ordinary from the extraordinary, the answer is almost always the same: the ability to investigate under pressure. In a world of shifting facts, unseen dangers, and cross-functional confusion, true investigative skill is what keeps organizations ethical, transparent, and resilient. Few stories illustrate this as vividly as “The Tholian Web,” an iconic episode from Star Trek: The Original Series. Lesson 1: Investigate With a Cool Head—Leadership Under Duress Illustrated By: After Kirk’s sudden disappearance, Spock assumes command. Crew anxiety spikes, tempers flare, and Dr. McCoy challenges Spock’s decisions.. Compliance Lesson: In crisis situations, be it a whistleblower allegation, data breach, or fraud discovery panic is a natural response. The best investigators, like Spock, recognize that emotional decision-making clouds judgment. They follow procedure, remain analytical, and never let pressure override the investigative process. Lesson 2: Document Everything—The Importance of the Record Illustrated By: Early in the investigation, Spock reviews and references Captain Kirk’s standing orders and last log entries. He later records his own log, explicitly noting the crew’s condition, the timeline, and his rationale for each major decision. Compliance Lesson: Thorough documentation is the lifeblood of effective investigations. Records create an objective narrative, protect the organization, and provide transparency for auditors, regulators, or stakeholders. If Spock had not documented his actions, later review, internal or external would have been impossible. Lesson 3: Test Hypotheses—Don’t Jump to Conclusions Illustrated By: McCoy believes the interdimensional “space sickness” is a kind of infection, while Spock hypothesizes it is a function of spatial instability. Rather than making snap judgments, both test their theories with scientific rigor, running medical scans, experiments, and simulations until they converge on the facts. Compliance Lesson: Good investigators approach every matter as a hypothesis to be tested and not a foregone conclusion. By seeking corroborating (or conflicting) evidence, compliance professionals ensure they arrive at the truth, not just a convenient story. Lesson 4: Manage External Interference—Defend the Integrity of the Investigation Illustrated By: The Tholians appear and begin imposing their own agenda, demanding the Enterprise leave the area. Under threat, Spock must weigh the crew’s safety against the risk of abandoning the investigation and Kirk. He stands firm, communicating clearly with the Tholians but refusing to let external pressure dictate internal process. Compliance Lesson: Legal, business, or even cultural pressures can tempt organizations to curtail, rush, or steer investigations for expediency or self-protection. The role of compliance is to defend the integrity of the process ensuring objectivity, completeness, and independence even when it’s inconvenient. Lesson 5: Foster Teamwork and Resilience—No One Investigates Alone Illustrated By: Tension between Spock and McCoy is palpable, but when faced with Kirk’s absence and the ship’s peril, they collaborate—combining scientific and medical expertise, pooling resources, and supporting one another. Compliance Lesson: The most effective compliance investigations harness the diverse skills and perspectives of a multidisciplinary team. Unity, support, and open communication are force multipliers in a web of uncertainty. Final ComplianceLog Reflections “The Tholian Web” is more than a science fiction adventure. It is a case study in investigative excellence under extraordinary pressure. The crew’s ability to stick to process, document facts, test hypotheses, defend their mission against outside interference, and come together as a team mirrors the best practices in modern compliance investigations. Learn more about your ad choices. Visit megaphone.fm/adchoices
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    11 分
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