Innovation in Compliance: Operationalizing Trust at Scale: A Conversation with Amanda Carty on Compliance and AI
Everything Compliance - The Elon Etc Edition
Salvador Dahan on the Journey of Petrobras
Susan Roberts on Creating a Compliance Program Book
Across the Board – Episode 1: What’s the Tone at the Very Top
Compliance into the Weeds: Episode 117-Wells Fargo Update
Podcast: Common Risks and Challenges in Running a Global Ethics & Compliance Program
Legal Risk Management Forum: panel highlights
The Compliance Challenge: Managing Legal & Regulatory Risk
Episode 22: Social Impact Programs: Why Purpose Makes a Difference
COMPLIANCE INTO THE WEEDS-EPISODE 45, THE UNDESERVED PRIVILEGE EDITION
Compliance Into the Weeds-Episode 42, the Uber Edition
Day 22 of One Month to Better Compliance Through HR-10 Questions to Better Operationalize Compliance
Day 20 - Compliance Leadership from the Bottom
Operationalizing Compliance Through Your Tone in the Middle
Day 1 of 30 Days to a Better Compliance Program, Tones in an Organization
Ten Hallmarks of an Effective Compliance Program-Hallmark 1
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-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
Operation Lava Jato (Carwash) had a profound effect on business in Brazil, with countless companies caught up in one way or another in the corruption scandal. State oil company Petrobras was no exception, but, as is the case...more
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
Firm culture is under ever-increasing scrutiny and is widely considered to be at the heart of the most serious employee misconduct and ethical lapses. Senior management should lead by example and ensure a good culture is...more
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
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
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
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
ethikos 33, no. 12 (December 2019) - According to an October 28 Deloitte press release, “Nearly half (48.5%) of C-suite and other executives at organizations that use artificial intelligence (AI) expect to increase AI use...more
This week, in this podcast series on the FCPA Compliance Report, I visit with Patricia Harned, Ph.D., the Chief Executive Officer (CEO) of Ethics and Compliance Initiative (ECI), about the firm’s 2018 Global Business and...more
The corporate scandal landscape is littered with important examples of governance failures surrounding corporate ethics and mishandling of harassment and sexual assault controversies. ...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
First Post in a Two-Part Series - How do financial institutions get in trouble with their regulators? Recent AML enforcement actions suggest that the following two failures are at the heart of most of these actions: (1)...more
As we have written about previously, this past Spring the New York State Legislature and New York City Council adopted broad new requirements to combat workplace gender-based harassment. ...more
Effective October 9, 2018, all New York State employers are required to adopt written sexual harassment prevention policies for employees and, within a year (by October 9, 2019), all employers must implement mandatory...more
As we previously reported in our client alerts dated Sept. 4, 2018 and Sept. 17, 2018, effective Oct. 9, 2018, New York State employers are required to adopt and distribute a written sexual harassment prevention policy and...more
Earlier this week, the New York Governor’s office finalized materials for New York State employers to implement sexual harassment policies and training. While draft guidance was circulated to the public in August 2018, the...more
On Monday, October 1, 2018, the State of New York released final versions of a sexual harassment policy, complaint form, and employee training relating to sexual harassment, among other guidance, pursuant to legislation...more
Between several recent social movements and increased access to social media platforms, both consumers and employees are demanding changes in the places they shop, frequent, and work. ...more
In a five-part podcast series I am running this week on the Compliance Podcast Network, I visit with Vincent DiCianni, founder and Chief Executive Officer (CEO), and Eric Feldman, Senior Vice President both of Affiliated...more
It’s not a joke. It’s really not. In fact, 81 percent of women and 43 percent of men have experienced some form of sexual harassment in their lifetime, according to a survey conducted by nonprofit organization Stop Street...more
While you don’t have to be a drill sergeant to enforce tone from the top, leadership should provide a clear example to their employees about what constitutes ethical behavior. And about what’s acceptable at different...more
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
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