Andrew Foose

Andrew Foose

NAVEX Global

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Culture of Corruption in the Financial Industry: A Closer Look

A closer look at new research data about corruption in the financial industry: is the industry as far behind on organizational culture as it might seem?  A recent study, “The Street, The Bull and The Crisis: A Survey of...more

6/16/2015 - Corporate Culture Corruption Criminal Prosecution Financial Services Industry Managers Retaliation Risk Assessment Supervisors Training UK United States

Does Your Ethics & Compliance Policy Management Work? [Survey Says...]

The most definitive set of benchmarking data on ethics and compliance policy management ever compiled: NAVEX Global conducted an anonymous survey of nearly 900 ethics and compliance professionals about policy...more

6/8/2015 - Benchmarking Best Management Practices Chief Compliance Officers Compliance Corporate Counsel Ethics Policy Management

Policy Management Best Practice FAQs: Top 10 Questions from the Policy Management Benchmark Webinar Answered

During our recent webinar (now available on-demand), we provided an in-depth tour through the findings of our 2015 Ethics and Compliance Policy Management Benchmark Report. Webinar attendees asked a number of valuable...more

6/3/2015 - Benchmarks Compliance Ethics Policy Management Risk Assessment Third-Party Liability

Global Anti-Corruption Enforcement Trends Hit FIFA

Insights on the anti-corruption trends that contributed to the Fédération Internationale de Football Association (FIFA) scandal, and six essential characteristics of organizations whose cultures help prevent bribery and...more

5/29/2015 - Anti-Corruption Bribery Compliance Criminal Prosecution DOJ Ethics FIFA Indictments Reputation Management Sports

[Complimentary Research Report] NAVEX Global's 2015 E&C Policy Management Benchmark Report

Policy management has been — and remains — a maturing business practice. As a result, many compliance professionals are not working against industry benchmarks to answer such questions as: - How much are other...more

5/27/2015 - Benchmarking Best Management Practices Chief Compliance Officers Compliance Corporate Counsel Ethics Policy Management

[Webinar] Benchmarking Your Policy Management Program - May 21, 10:00am PT / 1:00pm ET

Join this free webinar to hear compelling survey results and answers to questions such as: What are organizations doing to address policy management today? What are E&C leaders’ top policy management...more

5/14/2015 - Best Management Practices Chief Compliance Officers Compliance Compliance Commitees Corporate Counsel Enforcement Ethics Policy Management Webinars

Data Privacy Challenges & Considerations for Cross-Border Ethics & Compliance Investigations

What investigators need to know—and do—to adhere to data privacy laws relating during ethics and compliance investigations. Investigations of potential misconduct can be taxing for any organization. But for...more

4/14/2015 - Anti-Bribery Compliance Cross-Border Data Privacy Ethics Internal Investigations International Labor Laws Multinationals Outside Counsel Popular Privacy Laws

Seven Training Imperatives to Address Your Biggest Cyber Security Risk: Employee Behavior

One of your best defenses against a cyber attack? Your employees. Make sure they are trained on their role in protecting your organization. There are pros and cons to the digital world that we all live in. Pros include...more

3/31/2015 - Bring Your Own Device Compliance Corporate Counsel Cybersecurity Ethics Mobile Devices Popular Risk Assessment Risk Management Training

The Future of U.K. Enforcement of Financial Crimes: Four Clues for 2015

The legal and compliance landscape is changing quickly—it’s up to organisations that do business in the U.K. to strengthen their compliance programmes to meet these new challenges. In this whitepaper, Andrew Foose, vice...more

3/18/2015 - Compliance Corporate Criminal Fines Corporate Culture Corporate Governance Criminal Prosecution Deferred Prosecution Agreements DOJ Enforcement Actions FCA Financial Crimes SEC Self-Reporting SFO UK UK Bribery Act Whistleblower Awards Whistleblowers

2015 Trends: #9 Technology-enabled ethics and compliance is ready for takeoff

By every indication we are about to witness a dramatic leap in technology-enabled ethics and compliance. Tech Advancement in Key E&C Areas - Trends and our own client experiences are demonstrating that we are...more

1/28/2015 - Chief Compliance Officers Code of Conduct Compliance Data Protection Ethics Policies and Procedures Software Technology Third-Party Risk Training

2015 Trends: #8 Top Whistleblowing Priorities for Compliance Professionals

Last November, the U.S. Securities and Exchange Commission issued its Annual Report to Congress on the Dodd-Frank Whistleblower Program. It is clear that the program is going strong. Following are five key ways compliance...more

1/23/2015 - Best Practices Chief Compliance Officers Compliance Dodd-Frank Employer Liability Issues Internal Reporting Retaliation Risk Assessment Risk Mitigation SEC Whistleblower Protection Policies

2015 Trends: #7 Crime and Punishment

On the accountability and punishment front, three trends bear watching: 1) Deferred Prosecution Agreements (DPAs) DPAs and Non-Prosecution Agreements (NPAs) allow prosecutors to require corporate reforms and...more

1/21/2015 - C-Suite Executives Chief Compliance Officers Compliance Corporate Integrity Agreement Criminal Prosecution Deferred Prosecution Agreements Ethics Non-Prosecution Agreements Personal Liability SEC Serious Fraud Office Strategic Enforcement Plan UK

2015 Trends: #4 Maybe One Size Does Fit All: Moving Toward a Uniform, Global Model for Compliance

We asked industry experts, colleagues and compliance officers what they believe will be the top issues impacting workplace ethics and corporate compliance programs in 2015. We gathered their best thinking and prepared our...more

1/14/2015 - Chief Compliance Officers Compliance Corporate Culture Corporate Social Responsibility Ethics

Prevent Financial Misconduct Before it Begins: Five Steps to Building an Effective Business Conduct Programme in the U.K.

In the third of three posts on the future enforcement of U.K. financial crimes, we explore how to prevent misconduct before it begins by implementing an effective business conduct programme... Each of the four trends...more

11/10/2014 - Chief Compliance Officers Compliance Financial Crimes UK White Collar Crimes

Deferred Prosecution Agreements Authorised & “Whistleblower” Bounties Rejected: Clues to Future Enforcement of U.K. Financial...

In the second of three posts on the future enforcement of U.K. financial crimes, we explore the implications of enforcement actions related to financial crime in the U.K. To see all four clues and a roadmap for implementing...more

11/7/2014 - Deferred Prosecution Agreements Enforcement Actions UK Whistleblower Awards Whistleblowers

Jail Time & Multi-National Cooperation in Investigations: Clues to Future Enforcement of U.K. Financial Crimes

In the first of three posts on the future enforcement of U.K. financial crimes, we explore the implications of enforcement actions in the U.K. To see all four clues and a roadmap for implementing an effective business conduct...more

11/6/2014 - Criminal Prosecution Enforcement Enforcement Actions Financial Crimes UK White Collar Crimes

Unexpected “Scientific Evidence” on the Value of Ethics & Compliance Training and Communications

A real-life situation recently provided powerful evidence of the value—and effectiveness — of ethics and compliance training and communication. When scientists want to prove the effect of something such as, for...more

9/3/2014 - Chief Compliance Officers Compliance Ethics Training

Assessing Witness Credibility—Is it Really Just “Opinion”?

I was challenged recently by a participant during an in-depth webinar on conducting investigations of employee misconduct that I was leading. As I discussed how to assess witness credibility—one of the most difficult...more

8/8/2014 - Credibility Employer Liability Issues Investigations Witnesses

Three Ethics & Compliance Program Insights You Can’t Afford to Miss

In the first half of this year, I interviewed and conducted focus groups with hundreds of line employees, professionals and managers on four continents and—regardless of country, culture or industry—three themes came up again...more

6/30/2014 - Best Management Practices Corporate Culture Employer Liability Issues Ethics

Interviewing in the Context of Workplace Investigations

As an ethics and compliance professional and investigator, I have been intrigued by the recent media coverage of wrongful convictions. Also, the stories reminded me of a fascinating article in the New Yorker magazine a few...more

3/17/2014 - Chief Compliance Officers Compliance Ethics Investigations

Retaliation by Traffic Jam? Ethics & Compliance Lessons from Bridgegate

Scandal roils around top aides to New Jersey Governor Chris Christie due to lane closures on the George Washington Bridge to New York City, resulting in four days of debilitating traffic jams. It’s a political issue at its...more

1/13/2014 - Chris Christie Ethics Political Campaigns Political Scandals Reputation Management Retaliation Social Media

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