2013 Annual Report to Congress on the Dodd-Frank Whistleblower Program -
Back when the Dodd-Frank Act first proposed the creation of the Office of the Whistleblower (OWB) a hue and cry went up from chief compliance…more
The Importance of Middle Managers to Your Compliance Program
When it comes to managing risk and building a culture of ethics and compliance every employee plays a part. Senior leaders establish the priority, tone, and vision…more
USING COMPLIANCE COMMUNICATOR -
Compliance Communicator is designed to engage middle management and ensure that ethics and compliance are top of mind and instilled in the everyday work environment. Use this valuable…more
“The U.S. government is too restrictive in trying to prevent its companies from corruption abroad and that’s hurting business expansion in Asia and elsewhere, according to Penn National Gaming Chairman Peter…more
Designed right, an ethics and compliance program is not just about limiting risk. You’re setting your sights too low. In fact with that narrow mindset, you’re likely setting your organization up for failure, or at least missing…more
This week’s announcement that SAC Capital Advisors will pay a record-breaking penalty of $1.8 billion (USD) for insider trading violations may not have been a surprise to anyone following the case - after all, the hedge fund’s…more
I first came across this story, not buried in an online discussion or in a tweet. But rather, on the Today Show. It's an excellent example of the speed with which poorly thought out internal memos find a whole new life online…more
News flash: Cheating gets you high.
A recent study published in The Journal of Personality and Social Psychology by researchers at the University of Washington, the London Business School, Harvard and the University of…more
Recently I facilitated a pre-conference workshop at the Ethics and Compliance Officer Association’s 21st Annual Ethics & Compliance Conference in Chicago that focused on cutting down the sizable job of designing a good education…more
Recently we took time to recall not only why we should listen to what the flight attendant is telling us about the safety features on our aircraft, but also what 2009’s Miracle on the Hudson tells us about corporate…more
Using training to build a legal defense is a topic that receives significant coverage. It’s also a topic that is often not well understood. Unfortunately, mistakes happen and they can be costly…more
With great fanfare, the SEC Office of the Whistleblower opened its doors in September of 2011, and eagerly asked whistleblowers to step forward. The office is authorized to reward “high-quality, original information” that…more
Most organizations engage with hundreds, if not often thousands, of third party vendors, suppliers, agents and business partners, creating a daunting and ever-expanding scope of risk.
This risk arises from:
1. the …more
September is the season for conferences, getting on the plane to get to them, listening to the flight attendant as they explain how the seatbelt works, what to do in the case of a loss of cabin pressure, and where the emergency…more
Wage and hour class actions continue to sweep through the country and are now the leading type of class action filed nationwide. These claims represent 91 percent of all employment law class actions, and can be so devastating to…more
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