Compliance Tip of the Day: Rethinking Corporate AI Governance Through Design Intelligence
Podcast - “I Lied Like a Dog!”
2 Gurus Talk Compliance: Episode 55 – The From Worse to Worser Edition
Compliance Tip of the Day: COSO Governance Framework: Part 4, Culture
Sittenfeld v. United States – Campaign Contributions as Crimes?
Podcast - Persistence and Determination
Daily Compliance News: July 14, 2025, The Secret Business Sauce-Reading Edition
Adventures in Compliance: The Novels – The Hound of the Baskervilles: Uncovering Compliance – Lessons from The Hound of the Baskervilles
FCPA Compliance Report: Ethical Challenges in AI, Data Protection, and Sports with Andre Paris
Daily Compliance News: July 11, 2025, The What is a COI Edition
Because that's what heroes Do: Deep Space 9 – Episode 29: Character Dynamics and Ethical Tensions in When it Rains
Treating Compliance Like an Asset
Daily Compliance News: July 9, 2025, The TACO Don Caves Again Edition
Daily Compliance News: July 8, 2025, The Learning on the Job Edition
Adventures in Compliance: The Novels – The Hound of the Baskervilles, Introduction and Compliance Lessons Learned
The Dark Patterns Behind Corporate Scandals
Daily Compliance News: June 26, 2025, The? Matt Galvin Honored Edition
Regulatory Ramblings: Episode 72 - Cultural Roots, Belonging, and the Fear of Change: What’s Next for Inclusion?
SBR-Authors Podcast: Unconditional Values in Leadership and Compliance with Andy Crocker
Some early actions by the Trump administration have led corporate legal departments to question the extent to which they need to invest in ethics and compliance at this time, based on a perceived reduction in enforcement...more
We’ve talked before about how speak-up culture is on the rise; 6,000 more anonymous hotline reports were filed in 2023 than 2022, according to the respondent of Mitratech’s 2024 State of Ethics Reporting Hotlines....more
The more things change, the more things stay the same. For years, U.S. Department of Justice (DOJ) leadership has used the ABA National Institute on White Collar Crime and other major conferences to highlight enforcement...more
Since December 2021, the U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) have levied almost $3.0 billion in penalties for longstanding failures by 39 broker-dealers, swap dealers,...more
On October 17, 2023, during a speech at the Program on Corporate Compliance and Enforcement held at the New York University School of Law, the Commodity Futures Trading Commission (CFTC) Director of Enforcement, Ian McGinley,...more
For more than two years now, heads of the U.S. Department of Justice have maintained a steady drumbeat that they expect companies today to have in place a sound data analytics compliance program to proactively mitigate risks....more
- A tone-at-the-top business culture with CEO leadership is a critical component of effective anti-corruption and anti-bribery policy implementation. - CEO leadership helps set an example for lower management and company...more
Limitations on Use of Confidential Information is Prominent in the New Standards Continuing Recent Enforcement Trend in the Commodities and Derivatives Markets - On May 26, 2016, the Foreign Exchange Working Group...more
FINRA Seeks to Identify How Some Members Implement Cultural Values: The Financial Industry Regulatory Authority advised some broker-dealers through a targeted exam letter that it will soon meet with them to learn how they...more
Senior Fed Officials Encourage Financial Industry Firms to Improve Compliance Culture - Enhancing culture was the theme at a workshop on “Reforming Culture and Behavior in the Financial Services Industry” held at the...more