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Risk Management Corporate Governance Tone At The Top

Thomas Fox - Compliance Evangelist

Innovation in Compliance: Operationalizing Trust at Scale: A Conversation with Amanda Carty on Compliance and AI

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

Society of Corporate Compliance and Ethics...

Susan Roberts on Creating a Compliance Program Book

Cataloguing everything your compliance program does isn’t easy, but Susan Roberts, who recently retired from full-time corporate life after serving as Chief Compliance Officer at three different companies, did just that. And...more

Ballard Spahr LLP

GC Insights: SEC Issues Statement on Role of Audit Committees

Ballard Spahr LLP on

The Securities and Exchange Commission (SEC) issued a Statement—signed jointly by the Chairman, the Chief Accountant, and the Director of the Division of Corporation Finance—on December 30, 2019, titled, “Statement on Role of...more

Wilson Sonsini Goodrich & Rosati

SEC Issues Statement on Key Reminders for Audit Committees

On December 30, 2019, Chairman Jay Clayton, Sagar Teotia, the Chief Accountant, and William Hinman, the Director of the Division of Corporation Finance of the U.S. Securities and Exchange Commission (SEC), issued a Statement...more

Stinson - Corporate & Securities Law Blog

SEC Statement on Role of Audit Committees and Key Reminders

SEC Chairman Jay Clayton, Sagar Teotia, Chief Accountant and William Hinman, Director, Division of Corporation Finance issued a Statement on Role of Audit Committees in Financial Reporting and Key Reminders Regarding...more

The Volkov Law Group

Turning a Turbulent Social and Political Environment into Positive Ethical Culture Strategies

The Volkov Law Group on

Corporate cultures do not operate in a silo or free from external influences.  Yet again, another profound grasp of the obvious.  Employees, managers and senior leadership all bring their own experiences, perspectives,...more

Thomas Fox - Compliance Evangelist

What is Innovation in Compliance and Why is it so Hard? Part I

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

Thomas Fox - Compliance Evangelist

Bloomsday and the Foundation of Culture

When companies come under investigation, the DOJ will ask two principal questions about the company’s compliance function. The first question is “what was the state of the compliance program at the time of the improper...more

Mitratech Holdings, Inc

How a Sports Fan Saved His Company With Compliance

In 2015, when FIFA was experiencing scandal from all sides, lifelong sports fan Pedro Castro Nevares was called in to take over the compliance function at Torneos y Competencias, a South American sports marketing firm that...more

Thomas Fox - Compliance Evangelist

Convergence of Cultural Styles to Move the Needle Forward

I continue my exploration of how to change the culture in an organization based upon a series of articles in the most recent edition of the Harvard Business Review (HBR) by Boris Groysberg, Jeremiah Lee, Jesse Price and J....more

The Volkov Law Group

Three Simple Steps to Improve Your Corporate Culture

The Volkov Law Group on

What exactly does “corporate culture” mean?  Compliance professionals often talk about how important “tone from the top” or the “mood in the middle” is, but what does that really mean?...more

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