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Epiq

The New DOJ Position on Self-Disclosure Demands High-Functioning Compliance

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In remarks to an industry group, Matthew R. Galeotti, head of the Department of Justice (DOJ) Criminal Division, emphasized that companies may avoid criminal resolutions if they voluntarily self-disclose misconduct, fully...more

NAVEX

Strong Compliance Programs Will Always Matter

NAVEX on

The other day, I attended a panel discussion of compliance officers talking about how corporate compliance might change with the arrival of the Trump Administration. Except, we never got around to that discussion – we were...more

The Volkov Law Group

Episode 342 -- How to Conduct an Internal Compliance Site Visit and Review

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How can companies ensure that their compliance programs are robust enough to handle today’s complex ethical challenges? In this episode, Michael Volkov dives into the critical components of conducting an internal compliance...more

The Volkov Law Group

Profiles in Effective CEO Leadership

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One of the many great experiences I have been fortunate to have in my career is to meet some impressive leaders – at the Department of Justice, on Capitol Hill, and in corporations.  To focus on the latter, I have met some...more

The Volkov Law Group

The Evolution of the Compliance Profession

The Volkov Law Group on

One of the benefits of old(er) age is perspective and experience.  (As we age, we have to find the positive reasons to tout).  If there is one thing (of many) the compliance profession has demonstrated, it is that compliance...more

The Volkov Law Group

A Compliance Reminder: Focus on Your Culture

The Volkov Law Group on

We all agree on the importance of corporate culture.  Everyone gets it – corporate leaders mouth the words but rarely understand the nuances, and the need to attend to a company’s culture.  Compliance professionals want to...more

Thomas Fox - Compliance Evangelist

What is Corporate Culture?

Welcome to a special five-part blog series on building a stronger culture of compliance, sponsored by Diligent. In this series I will visit with Yvette Hollingsworth-Clark, Viktor Cuijak, Jessica Czeczuga; Michael Parker; and...more

The Volkov Law Group

ECI’s New Survey – The State of Ethics & Compliance in the Workplace

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The Ethics and Compliance Initiative (“ECI”) is a terrific organization that provides important ethics and compliance insights and leadership.  Starting in 1994, ECI has conducted a longitudinal, cross-section study of...more

The Volkov Law Group

LRN 2023 Compliance Program Report Underscores Importance of Compliance Program Vigilance

The Volkov Law Group on

LRN continues to provide important insights and trends on the importance of ethics and compliance programs.  LRN’s annual report is an important resource and needs to be reviewed by the board, senior management and all...more

Society of Corporate Compliance and Ethics...

[Event] 11th Annual European Compliance & Ethics Institute - March 20th - 22nd, Amsterdam, Netherlands

In-person is back! Join us in Amsterdam for the 2023 European Compliance & Ethics Institute! Strengthen your compliance and ethics program by attending our 11th annual European Compliance and Ethics Institute, 20-22 March...more

The Volkov Law Group

The Importance of Ethics and Compliance to the Overall Corporate Mission (Part II of IV)

The Volkov Law Group on

There are lots of sources for compliance guidance — prosecutors, regulators, compliance organizations, and many others have set forth important and valuable guidance for the design and implementation of an effective ethics...more

The Volkov Law Group

Monitoring and Measuring A Company’s Ethical Culture: Relevant Survey Strategies (Part I of II)

The Volkov Law Group on

Chief compliance officers play a key role in managing a company’s ethical culture. Most companies fail to pay proper attention to its culture because it is difficult to define, measure and monitor. Such an approach is...more

The Volkov Law Group

The Myth of Corporate Resources and Efficiency

The Volkov Law Group on

When I was a federal prosecutor and investigating corporations for misconduct, I imagined a well-oiled machine with vast resources, capable of overwhelming government prosecutors and law enforcement agents with lawyers,...more

The Volkov Law Group

The Absent CEO – Who’s Minding the Store?

The Volkov Law Group on

Corporate families can carry the traits of a smaller family – what do I mean by this quip?  An absent parent inevitably causes harm to a family. Families depend on connection, support and ultimately intimacy. ...more

The Volkov Law Group

The Dangers of a Fractured C-Suite

The Volkov Law Group on

We all know the importance of teamwork and collaboration. Whatever the context, sports, business, military, and many other situations, teamwork and cooperation is essential to success. ...more

The Volkov Law Group

A Basic Question — Where is the CCO’s Office?

The Volkov Law Group on

Sometimes compliance issues are simple.  Most times they are nuanced.  This is a simple issue but it carries with it a significant message.  So here goes – where is the CCO’s office?...more

Mitratech Holdings, Inc

Lessons Learned in Compliance Management in 2020

What have we learned from 2020? I think all of us have learned quite a bit in both our personal and professional lives. 2020 has stretched us as individuals and as organizations in various and unexpected ways. ...more

Mitratech Holdings, Inc

Ethics Rising: How Easier Processes Drive a Compliance Culture

Ethical and compliant behavior depends on an ethical company culture: one where employees question decisions when they conflict with organizational values and speak up when facing moral dilemmas. ...more

Thomas Fox - Compliance Evangelist

Farewell to Pete Hamill: Consistency and Culture in Compliance

Pete Hamill died Wednesday. According to his New York Times (NYT) obituary, he was the “streetwise son of Brooklyn who turned a gift for storytelling, a fascination with characters and a romance with tabloid newspapers into a...more

Thomas Fox - Compliance Evangelist

Answering DOJ Questions on Confidential Reporting

What are some best practices regarding an internal reporting system? The 2012 FCPA Guidance stated, “An effective compliance program should include a mechanism for an organization’s employees and others to report suspected or...more

The Volkov Law Group

Admit It – Your Compliance Program is Not Really “Effective”

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Chief compliance officers are heroes.  They labor every day to advance a company’s ethics and compliance program without much recognition, with few resources, and with well-known gaps in their programs....more

The Volkov Law Group

Incident Data and Intra-Company Cooperation

The Volkov Law Group on

The Justice Department “listens and learns” from companies and compliance practitioners.  As part of every enforcement action, DOJ prosecutors review and assess compliance programs in accordance with the standards explained...more

Society of Corporate Compliance and Ethics...

[Event] April Basic Compliance & Ethics Academy - April 27th - 30th, Chicago, IL

Our Basic Academies are ideal for professionals with some compliance knowledge and experience who are ready to support, enhance and manage a comprehensive compliance program. They are taught by compliance professionals,...more

Society of Corporate Compliance and Ethics...

[Event] March Basic Compliance & Ethics Academy - March 2nd - 5th, San Diego, CA

Our Basic Academies are ideal for professionals with some compliance knowledge and experience who are ready to support, enhance and manage a comprehensive compliance program. They are taught by compliance professionals,...more

Thomas Fox - Compliance Evangelist

CCO Lessons from A Charlie Brown Christmas

Delegation is always a key technique in improving productivity. However, you should not simply “shove things off your plate” but use the opportunity to give specific and new challenges to employees to help in their own career...more

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