Randy Stephens

Randy Stephens

NAVEX Global

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Latest Publications


How to Tackle Retail’s Unique Compliance Risks

Battered by the rise of online shopping, cybersecurity and bruised by changing consumer patterns, retailers today must cope with a host of new headwinds—heightening the risks of compliance failures in a business that’s...more

10/18/2016 - Compliance Employee Training Ethics FCPA Global Workforce Retail Market Retailers

Few Give Their Policy Management Systems Passing Grades

This article originally appeared on TLNT. The days of organizations conducting policy management through spreadsheets, email and generic document-sharing platforms aren’t over yet. But they probably should be. Originally...more

9/26/2016 - Automation Systems Benchmarking Compliance Ethics Human Resources Professionals Policy Management Training

SEC Whistleblower Awards Reach $100 Million Milestone

The Securities and Exchange Commission announced this week that awards from its whistleblower program had surpassed $100 million—thanks to a $22 million award announced the same day. That award was the largest since the...more

9/6/2016 - Compliance Corporate Culture SEC Whistleblower Awards Whistleblower Protection Policies Whistleblowers

Survey Says: Top Three Policy Management Challenges

Using data from our survey of over 1,000 respondents located all over the globe, we produced our 2016 Ethics & Compliance Policy Management Benchmark Report and webinar in May. During the webinar, Carrie Penman and I talked...more

6/28/2016 - Benchmarks Compliance Ethics Policies and Procedures Policy Management

Preview the Top Three Findings from our 2016 Policy Management Benchmark Report

In our second annual policy management benchmark report, which will be released first to everyone who registers for our upcoming webinar, we’ve uncovered new trends and insights that you can put to work in your program today....more

5/12/2016 - Benchmarks Best Management Practices Compliance Employee Training Ethics Policy Management

Panama Papers Scandal Puts Third Party Risk in Focus

The Panama Papers scandal should serve as a wake-up call for every organization—and it should prompt compliance officers to closely scrutinize the third party vendors they do business with. ...more

5/4/2016 - Anti-Bribery Anti-Corruption Compliance Confidential Information Data Breach Data Security Due Diligence Panama Papers Risk Management Third-Party Risk

Is the DOJ’s New FCPA Pilot Program an Offer You Can’t Refuse?

Earlier this month, Assistant US Attorney Leslie Caldwell announced that the US Department of Justice’s Criminal Division Fraud Section will try to entice companies to self-report potential FCPA issues. The DOJ included...more

4/28/2016 - Bribery Compliance Corruption DOJ FCPA Federal Pilot Programs Federal Sentencing Guidelines Self-Reporting Voluntary Disclosure Yates Memorandum

5 Ways Training on Your Compliance Policies Can Protect Your Organization

We write a lot about the importance of creating, implementing and managing the right policies. But implementation is only half the battle. If you don’t give your employees thorough, effective and regular training on them, you...more

4/12/2016 - Anti-Corruption Compliance DOJ Employee Training Ethics Policies and Procedures

Key Findings from NAVEX Global's Third Party Risk Management Benchmark Report

Vendor risk management and, in particular, third party risk management has become one of the toughest issues companies face—especially after a string of high-profile compliance failures in recent years. The majority of...more

4/4/2016 - Benchmarks Bribery Compliance Corruption Due Diligence Ethics Fraud Risk Assessment Risk Management Third-Party Risk Vendors

2015 Ethics & Compliance Third Party Risk Management Benchmark Report

Organizations are still coming to terms with the breadth and depth of their third party risk. An effective third party risk management program is in the interest of all organization —regardless of their size, industry, and...more

3/2/2016 - Benchmarks Compliance Due Diligence Ethics Risk Management Third-Party Third-Party Risk

SEC’s First Whistleblower Award to Company Outsider: Game Changer?

The headlines lit up this month when the Securities and Exchange Commission (SEC) issued its first-ever award to a whistleblower who wasn’t employed by the company on which he had blown the whistle. The award was a...more

1/28/2016 - Compliance Corporate Culture Enforcement Actions Internal Reporting SEC Whistleblower Awards Whistleblowers

New Study Highlights Anti-Bribery & Corruption Gaps & Risks

Everyone reading this post should have conducted a corporate risk assessment (CRA) in the past couple years. If not, stop reading and go conduct one now. Seriously, how can you know if your compliance program resources,...more

10/14/2015 - Anti-Bribery Anti-Corruption Compliance DOJ Due Diligence FCPA Resource Guide OECD Risk Assessment Risk Mitigation SEC Third-Party Risk

Five Lessons Ethics & Compliance Professionals Can Learn from the World of Sports

Despite the FIFA scandal and other not-so-great news from the world of professional sports recently, it’s good to remember that sports, at their best, can be a rich source of strategies and inspiration for the business...more

8/26/2015 - Board of Directors Compliance Corporate Culture Ethics FIFA Risk Assessment Sports Tone At The Top

Our Take on the SEC’s New Whistleblower Protection Guidance

On August 4th, the SEC delivered new guidance designed to answer once and for all one of the most important concerns of a potential whistleblower: “Where must I report to obtain protection from retaliation?” When...more

8/13/2015 - Compliance Internal Reporting Retaliation SEC Whistleblower Hotlines Whistleblower Protection Policies Whistleblowers

The State of Anti-Bribery & Corruption Programs: Key Trends and Takeaways from Recent Research Report

Kroll and Compliance Week’s 2015 Anti-Bribery and Corruption Benchmarking Report, surveyed global compliance executives and revealed that, while compliance officers are aware of the risks of anti-bribery and corruption (ABC),...more

7/9/2015 - Anti-Bribery Anti-Corruption Benchmarks Chief Compliance Officers Compliance Due Diligence Risk Management Third-Party

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

[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

Board Reporting: Elevating Your E&C Program & Engaging the Board

In This Presentation: - The Board’s Roles and Compliance Responsibilities - The Board Report & Briefing vs. Training - Important Considerations for your Board Report - Case Study - How Can I Tell if my Board is...more

3/17/2015 - Annual Reports Board of Directors Compliance Corporate Governance Ethics Federal Sentencing Guidelines Risk Assessment Training Training Requirements

Workplace Privacy: What Every CCO Needs to Consider

Most of us go through our daily lives unthinkingly assuming that our actions, movements and conversations are private. However, in today’s high tech and connected world, that is no longer the case. If you drive a car, carry a...more

3/6/2015 - Chief Compliance Officers Corporate Counsel Employment Policies Privacy Concerns Surveillance Workplace Safety

Building a Better Board Report: Essential Strategies for Chief Compliance Officers

Need to better engage your board—and get buy-in for E&C program investments? Fully leveraging your board reporting opportunity is essential. As compliance professionals, most of us are very proud of the...more

3/2/2015 - Board of Directors Chief Compliance Officers Compliance

Making the Case for Compliance Training for Third Parties

How to make the case for implementing third party compliance training in your organization. A recent article in the San Francisco Chronicle profiled Jay Jorgensen, the new Global Chief of Compliance at Walmart. The...more

2/17/2015 - Chief Compliance Officers Compliance FCPA Risk Mitigation Third-Party Risk Third-Party Service Provider Training

2015 Trends: #5 Regulatory Enforcement Moves Down Market

While ethics and compliance scandals that implicate brand name companies tend to grab the headlines, smaller organizations have always borne the brunt of regulatory enforcement. Over the years, U.S. Sentencing Commission data...more

1/15/2015 - Bribery Compliance Contractors DOJ Enforcement Actions Enforcement Statistics Ethics FCPA Lawson v FMR Sarbanes-Oxley SCOTUS SEC Small Business Smith & Wesson Subcontractors Whistleblowers

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