July 30 marks the 238th anniversary of passage of the first congressional protections for whistleblowers in the United States. As they have done in recent years, officials in Washington, D.C., will celebrate the anniversary...more
Benchmarking your organisation’s data against your peers across EMEA & APAC provides critical insights into the health of your ethics and compliance programmes. Our new report gives the most comprehensive picture of...more
5/19/2016
/ Asia Pacific ,
Benchmarking ,
Compliance ,
Corporate Culture ,
EMEA ,
Ethics ,
EU ,
Retaliation ,
Risk Mitigation ,
Whistleblower Hotlines ,
Whistleblowers
In our second annual policy management benchmark report, which will be released first to everyone who registers for our upcoming webinar, we’ve uncovered new trends and insights that you can put to work in your program today....more
You’ve heard it time and time again—one of the most effective ways to measure your compliance initiatives is to analyze the data you’re already collecting from internal reporting systems. However: how do you know if your data...more
In 2015, NAVEX Global partnered with an independent research agency to survey ethics and compliance professionals with responsibility for administering training across their organizations. The goal was to determine their top...more
The headlines lit up this month when the Securities and Exchange Commission (SEC) issued its first-ever award to a whistleblower who wasn’t employed by the company on which he had blown the whistle. The award was a...more
While compliance professionals may not like what whistleblower plaintiff’s counsel have to say about ethics and compliance programs, their insights are invaluable for organizations who want to increase their program...more
On November 16, 2015, the U.S. Securities and Exchange Commission issued its 2015 Annual Report to Congress on the Dodd-Frank Whistleblower Program and, to no one’s surprise, the program is going strong awarding over $37M to...more
DOJ’s new compliance expert brings private practice insights to the department.
The Fraud Section of the Department of Justice (DOJ) announced earlier this month that it has hired Hui Chen as its “full-time compliance...more
Too many organizations learn the hard way that failure to create a speak-up culture poses risks that go far beyond financial calamity. Volkswagen (VW) appears likely joining those sad ranks today, as it scrambles to figure...more
9/22/2015
/ Automotive Industry ,
Board of Directors ,
Carbon Emissions ,
Code of Conduct ,
Compliance ,
Corporate Culture ,
Corporate Executives ,
Environmental Protection Agency (EPA) ,
Fraud ,
Scandals ,
Volkswagen
Those of us working in the ethics and compliance field know that there is no shortage of guidance on best practices for establishing and maintaining an ethics and compliance program. In the U.S., the Federal Sentencing...more
In what’s being called the most damaging event in the company’s 140-year history, Toshiba admitted this week to overstating its operating profit by $1.22 billion during the past several years. This staggering figure and...more
In her recent opinion piece in The New York Times, No Time to Be Nice at Work, Christine Porath asserted that, “how we treat one another at work matters. Insensitive interactions have a way of whittling away at people’s...more
New guidance for boards of directors on what it means to have “reasonable oversight” for the implementation and effectiveness of corporate compliance programs could signal the beginning of a global trend towards more—and more...more
6/24/2015
/ Audits ,
Bank of England ,
Board of Directors ,
Chief Compliance Officers ,
Compliance ,
Corporate Culture ,
Corporate Governance ,
Corporate Integrity Agreement ,
Department of Health and Human Services (HHS) ,
Ethics ,
Federal Sentencing Guidelines ,
Healthcare Provider Corporations ,
OIG ,
Regulatory Oversight
Ethics officers agree—one of the most effective ways to measure your compliance program is by analyzing data from internal reporting systems. But how can you know what is good or bad without context?
We compiled 2014...more
During our recent webinar, we provided an in-depth tour through the findings of our 2015 Ethics & Compliance Hotline Benchmark Report. Webinar attendees asked a number of valuable questions on topics ranging from hotline best...more
For years, NAVEX Global has been proud to provide the industry’s best and most statistically accurate hotline benchmarking data. By analyzing anonymized data we gather through our hotline and case management solutions, we...more
Ethics officers agree—one of the most effective ways to measure your compliance program is by analyzing data from internal reporting systems. But how can you know what is good or bad without context?
We’ve compiled...more
By every indication we are about to witness a dramatic leap in technology-enabled ethics and compliance.
Tech Advancement in Key E&C Areas -
Trends and our own client experiences are demonstrating that we are...more
Last November, the U.S. Securities and Exchange Commission issued its Annual Report to Congress on the Dodd-Frank Whistleblower Program. It is clear that the program is going strong. Following are five key ways compliance...more
1/23/2015
/ Best Practices ,
Chief Compliance Officers ,
Compliance ,
Dodd-Frank ,
Employer Liability Issues ,
Internal Reporting ,
Retaliation ,
Risk Assessment ,
Risk Mitigation ,
Securities and Exchange Commission (SEC) ,
Whistleblower Protection Policies
On the accountability and punishment front, three trends bear watching:
1) Deferred Prosecution Agreements (DPAs)
DPAs and Non-Prosecution Agreements (NPAs) allow prosecutors to require corporate reforms and...more
1/21/2015
/ C-Suite Executives ,
Chief Compliance Officers ,
Compliance ,
Corporate Integrity Agreement ,
Criminal Prosecution ,
Deferred Prosecution Agreements ,
Ethics ,
Non-Prosecution Agreements ,
Personal Liability ,
Securities and Exchange Commission (SEC) ,
Serious Fraud Office (SFO) ,
Strategic Enforcement Plan ,
UK
Last week, the SEC announced its first whistleblower award to an audit and compliance professional. The $300,000 award announcement noted that the recipient had “reported concerns to appropriate personnel within the company,...more
A recent blog post by Ethics Resource Center President Pat Harned, reported on findings from the ERC 2013 National Business Ethics Survey (NBES) of significantly more observed misconduct in companies that are under stress...more
For the last five years, NAVEX Global has been proud to provide the industry’s best and most statistically accurate hotline benchmarking data. Our annual reports are a trusted resource for ethics and compliance officers,...more
Last week the Department of Justice formally charged ex-Virginia Governor Bob McDonnell and his wife with illegally soliciting and accepting lavish gifts and entertainment as well as loans from the (now former) CEO of Star...more