There has been much discussion over the years about the relationship between enterprise risk management (ERM) and compliance risk management. Making the discussions more complex has been a tendency to approach risk management...more
It’s a very busy time for compliance professionals overseeing businesses operating in India, reports Arpinder Singh, India & Emerging Markets Leader at EY Forensic & Integrity Services. There are a dizzying number of new...more
12/4/2020
/ Auditors ,
Board of Directors ,
Business Disruption ,
Chief Compliance Officers ,
Competition ,
Compliance ,
Coronavirus/COVID-19 ,
Corporate Governance ,
Corporate Investigations ,
Corporate Officers ,
Corruption ,
Data Privacy ,
Data Protection ,
Ethics ,
India ,
Insider Trading ,
New Regulations ,
New Rules ,
Prevention of Corruption Act (PCA) ,
Privacy Laws ,
Ransomware ,
Remote Working ,
Reporting Requirements ,
Risk Management ,
Supply Chain ,
Whistleblowers
In the latest episode of the Compliance Perspectives podcast we are joined by Daniel Kahn, the Acting Chief of the Fraud Section at the Department of Justice.
We begin the conversation with a discussion of the latest...more
11/5/2020
/ Chief Compliance Officers ,
Compliance ,
Corporate Governance ,
Criminal Prosecution ,
Data Collection ,
Department of Justice (DOJ) ,
Due Diligence ,
Enforcement Actions ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
Internal Controls
Few things send shivers down the spines of compliance officers more than reports that one of their own has been found personally liable for wrongdoing at their organization.
And while some have tried to increase those fears,...more
The value of good risk management, both in compliance programs and even our personal lives, has never been more important. These days we find ourselves recalculating everything from the compliance risk of a new business...more
9/10/2020
/ Anti-Bribery ,
Anti-Corruption ,
Antitrust Violations ,
Business Strategies ,
Chief Compliance Officers ,
Compliance ,
Corrective Actions ,
Department of Justice (DOJ) ,
Due Diligence ,
Ethics ,
Risk Assessment ,
Risk Management ,
Social Media ,
Third-Party Risk
When Lisa Gross, Ethics Senior Manager at Lockheed Martin and Art Weiss, Chief Ethics and Compliance Officer at Tamko Building Products set to work as co-chairs of the Ethics Track for the 2020 Virtual Compliance & Ethics...more
The only thing better than a good compliance case study is eighteen of them, and that’s what you’ll find at the 2020 Virtual Compliance & Ethics Institute, taking place September...more
In 2020 the SCCE will again be proud to offer the Compliance Law track at the 2020 Virtual Compliance & Ethics Institute....more
As compliance teams seek to extend their reach into the organization, one idea that has emerged in the development of compliance champions. But what is a compliance champion and how does it work?
In this podcast Duncan...more
What can Jay Kogen, a writer and producer of shows such as The Simpsons, Malcolm in the Middle and Frasier, teach compliance professionals? A lot, as it turns out, as compliance training evolves to include more humor and...more
There are few businesses seen as more essential today than FedEx. Its trucks have become a lifeline for many. But just because a company can and must operate, doesn’t mean it enjoys carte blanche to do what it likes. The...more
Companies are struggling to survive and boards are stretched beyond belief. So how do you get the governing team to focus on compliance? According to Nell Minow — dubbed the “Queen of Good Corporate Governance” by...more
Today’s it’s the COVID-19 Pandemic. A year from now it could be a natural disaster. But whatever the reason, even during a business interruption compliance programs still have to function effectively.
Don Griffith, Head of...more
As business continues to increasingly embrace the concept of risk management, where does compliance fit, particularly in the context of broader Enterprise Risk Management (ERM) frameworks? It’s a tough question that James...more
Judith Spain is a professor of business law at Eastern Kentucky University, Compliance Collaborative Program Consultant with the Georgia Independent College Association, and, most importantly for this conversation, the author...more
Heidi Rudolph, Managing Director at Morae Global, has spent a great deal of time considering technology’s role, risks and rewards for compliance teams. She contributed an article...more
Mark Lanterman, Chief Technology Officer of Computer Forensic Services lives technology at its most terrifying, helping organizations manage the risks of the IT we all use constantly.
Recently he authored an article...more
1/7/2020
/ Business Strategies ,
Chief Compliance Officers ,
Compliance ,
Crisis Management ,
Cyber Attacks ,
Cyber Incident Reporting ,
Cybersecurity ,
Data Breach ,
Data Privacy ,
Data Protection ,
Data Security ,
Incident Response Plans ,
Information Technology ,
Passwords ,
Policies and Procedures ,
Public Relations ,
Risk Management ,
Risk Mitigation
Matthew Friedman is the CEO of The Mekong Club, an organization supporting the private sector in the fight against modern slavery. Previously he worked for the United Nations Inter-Agency Project on Human Trafficking and US...more
1/2/2020
/ Audits ,
Chief Compliance Officers ,
Compliance ,
Compliance Monitoring ,
Due Diligence ,
Employer Liability Issues ,
Employment Contract ,
Employment Policies ,
Forced Labor ,
Human Trafficking ,
Migrant Workers ,
Popular ,
Private Sector ,
Risk Assessment ,
Risk Mitigation ,
Slavery ,
Supply Chain ,
Vendors ,
Wage and Hour
Few things provoke more stress in the compliance and ethics community than preparing for one of the certification exams: CHC, CCEP, CCEP-I, CHRC, CHPC. Even those attending the Academies are fearful, often unduly.
For some...more
In Part 2 of this two-part podcast Michael Horowitz addresses issues that would look familiar to any compliance officer who is familiar with investigations:
- Determining who should be included in the investigations
-...more
12/10/2019
/ Chief Compliance Officers ,
Compliance ,
Confidential Information ,
Corporate Misconduct ,
Department of Justice (DOJ) ,
Information Reports ,
Inspector General ,
Internal Investigations ,
Leadership ,
White Collar Crimes ,
Witness Statements
Michael Horowitz, the Inspector General at the US Department of Justice, has long been involved in the compliance community and even served as a member of the advisory board of the Society of Corporate Compliance &...more
12/10/2019
/ Chief Compliance Officers ,
Compliance ,
Corporate Misconduct ,
Department of Justice (DOJ) ,
Document Requests ,
Evidence ,
Information Reports ,
Inspector General ,
Internal Investigations ,
Interviews ,
Policies and Procedures ,
White Collar Crimes ,
Witness Statements
In a surprising web conference, Brian Lee, Managing Vice President at Gartner, shares some eye-raising insight into what’s going on when it comes to third-party risk management. Recent research there reveals what he reports...more
Even the best compliance initiative can’t survive a bad rollout. That’s why it’s essential that the planning is done properly.
In this podcast Grace Wu de Plaza, Director, Compliance & Corporate Integrity, Farmer Mac,...more
10/30/2019
/ Chief Compliance Officers ,
Code of Conduct ,
Compliance ,
Compliance Dates ,
Employee Training ,
Internal Communications ,
Leadership ,
Marketing ,
Project Management ,
Stakeholder Engagement ,
Strategic Planning