What to Do When Leadership Doesn’t Take Compliance Seriously
Moving Beyond the Usual Helpline Data
Adventures in Compliance: The Novels - The Valley of Fear, Introduction and Compliance Lessons Learned
FCPA Compliance Report: Navigating Corporate Scandals: Insights on Governance, Compliance, and Recovery with Steve Vincze
Compliance Tip of the Day: AI and 3rd Party Risk Management
Compliance Tip of the Day: Strategies for Embedding Compliance into your Organization
Compliance Tip of the Day: Crowd Sourcing Risk Intelligence
Compliance into the Weeds: Sanctions Compliance Failures: Lessons from Harman International and Interactive Brokers
Compliance Tip of the Day: COSO Governance Framework: Part 4, Culture
Compliance Tip of the Day: COSO Governance Framework: Part 3, Strategy
Compliance Tip of the Day: COSO Governance Framework: Part 2, Oversight
Compliance Tip of the Day: COSO Governance Framework: Part 1, Introduction
Compliance Tip of the Day: Design - Centric Internal Controls
Compliance Tip of the Day: Internal Control Improvement
Compliance Tip of the Day: Lessons from Internal Control Failures
Compliance Tip of the Day: Internal Control Deficiencies
Compliance Tip of the Day: Assessing Internal Controls
Compliance Tip of the Day: COSO Objective 5 – Monitoring Activities
Compliance Tip of the Day: COSO Objective 4 - Control Information and Communication
Compliance Tip of the Day: COSO Objective 3 – Control Activities
Here’s a little nightmare every compliance officer dreads. You leave your current job for an exciting new one, only to find out that you just walked into a position where the compliance efforts are token at best because the...more
It’s time to think bigger when it comes to helpline data. Yes, it’s still important to look at traditional metrics such as the number of calls and the substantiation rate. But, there is so much more that can be done. ...more
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
Do you ever ask yourself, “What kind of compliance officer am I?” Netherlands-based Susan du Becker, Director, Risk & Compliance at Microsoft, thinks we all should. To her experience, there are two answers to that question. ...more
The guidance stresses heightened focus on emerging antitrust risks, enhanced support and incentives, and proactive monitoring. On November 12, 2024, the Antitrust Division of the US Department of Justice (the Antitrust...more
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
NAVEX delivers quality studies and important insights on ethics and compliance topics. In its 2024 State of Risk & Compliance, NAVEX provides a comprehensive report on current trends and practices involving risk and...more
Writing, implementing, and enforcing strong compliance-related policies is critical to any compliance and ethics program. So, why do so many compliance failures occur due to breakdowns in internal controls?...more
A recent issue of SCCE’s Corporate Compliance Weekly News contained a link to a startling report I was not previously familiar with. An investigation by the U.S. Coast Guard found numerous instances of sexual assault spanning...more
I do not think it would be too controversial to say that compliance programs play a crucial role in ensuring that organizations adhere to legal and ethical standards. That is basically what we are all striving to do. However,...more
LRN’s annual Program Effectiveness Report is chock full of important findings. Frankly, LRN’s PEI Report is a “board worthy” report (as Donna Boehme used to say — every board member should read it). Susan and Michael...more
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
In part 1 of the compliance programs video series, attorneys Erica Barnes and Charles Fleischmann discuss what a compliance program is and why it is a necessary component of a successful business....more
Achieve your ESG goals in 2023 - Environment, Social, and Governance (ESG) is a top priority for organizations of all types and sizes, and it the compliance team is a key factor in the ESG equation. Much like regulatory...more
Once defined, installed, and surrounded with a consequence management system, a corporate culture is not fixed in stone. To the contrary, as the business adapts through growth, innovation or in response to outside market and...more
The Justice Department’s recent emphasis on ethics and compliance culture, along with greater specificity on “consequence management” is a welcome breath of fresh air. It is a policy coming for a long time and will bring...more
The Monaco memo’s imposition of CCO certification in DOJ investigations has, reasonably, been a major anxiety-inducer for compliance professionals. And while DOJ officials have said the requirement is designed to “empower”...more
What is online Ethics and Compliance training? Ethics in the workplace is best described as the opportunity for employees to contribute, influence and lead by doing what is morally right. Compliance, on the other hand, is...more
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
Recent regulator statements and actions stress the need to empower compliance programs and officers and hold them accountable. As companies navigate the post-pandemic environment, legal and compliance teams should take...more
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
OK, I admit it. I have been — and continue to be– hyper-focused on the proper role and responsibilities for Chief Compliance Officers. Not that I see any cause for alarm, but it is easy to lose focus in the sea of so-called...more
Recently, Assistant Attorney General, Kenneth A. Polite Jr. delivered remarks at Compliance Week detailing how the DOJ evaluates corporate compliance programs. The purpose of clearly stating these expectations in detail is...more
Get insight and guidance on conducting more effective risk assessments - Do you want to learn valuable strategies for identifying and mitigating risk in your organization? This virtual workshop will give you a...more
HCCA's Healthcare Basic Compliance Academy is a three-and-a-half-day educational program that addresses methods for implementing and managing compliance programs based on the Seven Element Approach. They are ideal for...more