Sometimes, short is not only sweet—it’s powerful. Burst learning is an approach to ethics and compliance training that utilizes engaging five-to seven-minute videos to accomplish any number of an organization’s training…more
A memorandum released yesterday by Senator Charles E. Grassley highlights allegations that 14 of the 15 executive branch departments are in violation of the Whistleblower Protection Enhancement Act (WPEA)…more
In This Presentation:
• What’s Happening With Call Volume?
• The Repeat Reporter Story
• Allegation Categories Remarkably Consistent
• The Decline of the Anonymous Reporter?
• Substantiation Rate Gets…more
The challenge of managing third party relationships has expanded within the banking industry. In guidance issued last year by the Office of the Comptroller of the Currency (OCC), the scope of such relations has grown to include…more
Last week, Carrie Penman and I hosted the “Benchmarking Your Hotline: How Does Your Data Measure Up Against NAVEX Global’s 2014 Benchmarks?” webinar where we discussed top-level findings from NAVEX Global’s 2014 Hotline…more
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
The Supreme Court in Lawson vs FMR, LLC (delivered March 4, 2014 after a 6-3 vote) has ruled that employees of private companies engaged by public companies are covered by the whistleblower protections of Sarbanes Oxley Act of…more
Well structured, updated policies can be a first line of defense against employment related litigation and regulatory investigations. However, an organization’s policies can quickly turn from defensive tactic to litigation aid…more
Last year, we realized that, in spite of all the research that reputable organizations publish about compliance and the practice of compliance, there was some key information about the current state of our industry and key…more
MEMO TO MANAGERS -
Making the Most of Our Code of Conduct -
As you know, the company has a number of ethics and compliance resources in place to ensure that everyone understands our expectations and standards…more
Last week, the Wall Street Journal featured an article on companies that are enlisting employees who are identified as “influencers” – “employees who are particularly well-connected and trusted by their peers” – to help “come…more
It has become industry best practice to collect conflict of interest disclosures. Usually, organizational codes of conduct require all employees to disclose any potential conflicts of interest (COIs) they may have with their…more
Whistleblowing has become a highly charged term, stirring up emotive rhetoric ranging from “ethical hero” to “treasonous traitor” with very little substantive evaluation of the real impact on the corporation and the broader…more
Last year, the U. S. Securities and Exchange Commission (SEC) indicated that it would be looking for additional ways to support the work of Ethics and Compliance Officers. Their stance came in part as a result of the Johns case…more
The day has arrived. Today we’ll cover our last trend to watch in 2014: DPA and NPA use expanding. Since they were first used in 2000, the U.S. DOJ has disclosed 257 Deferred Prosecution Agreements (DPAs) and Non-Prosecution…more
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