Nonprofit Quick Tip: State Filings in Mississippi and Georgia
10 For 10: Top Compliance Stories For the Week Ending August 23, 2025
Data Driven Compliance: The Failure to Prevent Fraud Offense: Insights for US General Counsels with Mike DeBernardis
Culture Crafters: Building a Culture of Accountability in the Face of Disasters
Operationalizing Trust at Scale: Evolving Compliance: Neta Meidav on the Diligent Acquisition and AI Integration
Innovation in Compliance: Gaurav Kapoor on Risk Management and the Role of AI in GRC
FCPA Compliance Report: Accountability in Times of Crisis: A Conversation with Tom Fox and Sam Silverstein
Sunday Book Review: August 17, 2025, The More Books from the Ethicsverse Library Edition
Compliance Tip of the Day: How a CFO Views Compliance and Risk
Data Driven Compliance – James Tillen on the Importance of Cross-Functional Collaboration in Complying with the FTPF Offense
2 Gurus Talk Compliance: Episode 57 — The Tom on His Highhorse Edition
AI Today in 5: August 15, 2025, The AI as Boss Episode
What to Do When Leadership Doesn’t Take Compliance Seriously
Daily Compliance News: August 14, 2025 The End of Dial Up Edition
Compliance Tip of the Day: Finance Models for Compliance
Compliance Tip of the Day - Extending Compliance Value Across Your Organization
Daily Compliance News: August 11, 2025, The Boss Doesn’t Work Edition
Compliance Tip of the Day: Design - Centric Internal Controls
Adventures in Compliance: The Novels - The Valley of Fear, Sherlock Holmes’ Investigative Techniques for Today’s Challenges
FCPA Compliance Report - Episode 770 - Integrating ESG in Global Outsourcing: Insights from Inge Zwick
Innovation comes in many areas, and compliance professionals must be ready for and embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning...more
In organizations, there are many competing priorities among different departments. Everyone may track the organization’s priorities and their individual tasks differently, i.e., through “to-do” lists, action plans, etc....more
A single crisis can cause severe damage to a brand and its reputation—even with the most highly regarded companies. Ethics and compliance-related crises are practically a daily occurrence. Headlines about regulatory failures,...more
With summer coming to a close, business owners are officially in quarter four. It is crucial to address several key items before the year-end....more
To thrive in a complex world of constant change and challenge, firms must continuously innovate by pivoting business models, creating disruptive products, and implementing new technologies. Keeping an organization innovative,...more
The U.S. Department of the Treasury's Office of the Comptroller of the Currency (OCC), Board of Governors of the Federal Reserve System (Board) and the Federal Deposit Insurance Corp. (FDIC) (collectively, the Agencies) on...more
The federal banking agencies recently issued final interagency guidance concerning how large banks may control for climate-related financial risks (“climate risks”). The guidance is largely consistent with the proposal and...more
As more public — and even private — companies will need to address ESG expectations, some simple strategies can help companies chart a course from the beginning. As the global focus on environmental, social, and...more
The Situation: The Department of Justice ("DOJ") has updated its "Evaluation of Corporate Compliance Programs" guidance for prosecutors. The Result: The updates provide additional insights into the factors the DOJ is...more
Today, I consider what techniques you, as Chief Compliance Officer (CCO), can use to create continuous improvement in your compliance program. ...more
Throughout March in my podcast 31 Days to a More Effective Compliance Program, I will be considering innovation in compliance from a variety of angles including Artificial Intelligence (AI), computer technology (ComTech),...more
Given evolving Delaware law, understanding the difference between “risk oversight” and “risk management” is an increasingly important board task. In the Marchand and Clovis decisions, the Delaware courts sent an important...more
2019 was a big year for ethics and compliance. In fact, it is easy to argue that since the adoption of the compliance provisions in the US Sentencing Guidelines in 1991, compliance had its biggest year....more
With a new year, many folks have been promoted to the CCO chair. What should be your plan starting the new year and a new job. The answer is found in the eBook Compliance Program Game Plan by myself and Jonathan Marks. ...more
The first thing purpose can do is to help a company not level the playing field but redefine it. The authors noted that low growth companies “spend most of their time fighting for market share on one playing field, which...more
Corporate boards all want to believe that their companies maintain an ethical culture. Each board members knows the right words, platitudes and buzz words to use. No one can fault them there. But like every issue in life,...more
This week, I am writing a blog post series based upon the MIT Sloan Management Review Special Report: Making Good on the Promise of AI. Today, I want to consider the article People and Machines: Partners in Innovation by...more
What would you do if had to take over as a Chief Compliance Officer (CCO) in short notice? More often the situation might be, what would you do if you became a CCO through the more traditional hiring process? Fortunately, to...more
The Justice Potter Stewart phrase, “You know it when you see it,” applies to life issues and even compliance. Global companies struggle with program design, allocation of resources (e.g. human resources and money/assets),...more
Today, I conclude my short series on Shakespeare’s problem plays by considering Measure for Measure. In the age of #MeToo this play has taken on a renewed and frankly disturbing existence. ...more
I am in the midst of exploring other facets of innovation in compliance and why many claim it is so hard. Yesterday, I paid honor to Southwest Airlines co-founder Herb Kelleher who brought innovation to the formerly staid...more
One of the topics I enjoy exploring the most is all things around innovation in compliance. In fact, I dedicate an entire podcast to just that topic, which is aptly named Innovation in Compliance....more
Some of the most interesting innovations in compliance come from folks who do not have a background in either compliance or legal training. I have found it is because their perspective is so different that they spot things...more
Why is innovation so critical in every compliance program? Is it simply because the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) say it is so; or are there other reasons?...more
Congratulations on your new position as the chief compliance officer. You successfully interviewed with the company, met the senior executive team and the audit committee chair, and negotiated a nice compensation package. ...more