Best Management Practices

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Code of Conduct, Compliance Policies and Procedures-Part I

For the remainder of this week, I will have a four-part episode on your Code of Conduct and anti-corruption compliance policies and procedures. In today’s post I will review the underlying legal and statutory basis for the...more

NAVEX Global 2014 Training Benchmarking Report Webinar: Top Takeaways & Questions

We recently hosted a webinar, “Priorities, Practices and Trends in Training” to discuss the findings from our NAVEX Global 2014 Ethics and Compliance Training Benchmark Report. Some of the key findings from the report,...more

UK Companies See The Value of The Code of Conduct As A Promotional Tool – Do You?

I came across this excellent article by The Red Flag Group called “Compliance Pulse: Codes of Conduct in the UK – A study of 100 codes of the largest companies listed on the London Stock Exchange.” The article outlines a...more

CCOs Take Note: It’s the Culture Stupid

If CCOs are really ready to take the reins and assume a real role in the C-Suite, they need to develop more mature measurements and reports for senior management and the board of directors. We have all seen the color-coded...more

3 Questions To Help Develop Ethics and Compliance KPIs (Beyond Business Ethics Training Scores and Whistleblower Hotline Calls)

It’s no secret that ethics and compliance professionals struggle with measuring the effectiveness of their programs. Sometimes the “well, we have to do it anyway” mentality can preclude any attempt at real measurement and...more

It’s Easier This Way: Justin Llewellyn-Jones of Fidessa Maps A Compliance Path for Firms [Video]

Today, firms are dealing with three major issues: regulation, compliance and global economics. None of the three are friendly to firms and that’s where Justin Llewellyn-Jones, chief operating officer of Fidessa, believes...more

CCOs Need a Seat at the Table

Chief Compliance Officers are moving up the corporate ladder. They are being separated out of the legal function and empowered to exercise greater authority in the company. Research already has shown that this structure...more

Fitting a Solution to Meet the Needs of a Workflow In-House

Your law firm just purchased a license for e-discovery software. Now what? Software implementations can be a substantial challenge for a variety of reasons, including lack of executive buy-in, poorly defined requirements,...more

10 Tips for Creating a Successful BYOD Policy

The “bring your own device” (BYOD) trend has become the norm at many companies and viewed as a way to both save money and increase productivity. By allowing employees to use their personal smartphones, tablets and laptops to...more

Gettysburg Day 3 – Failure of QA/QC and the Evolution of Your Compliance Program

Today is the 151st anniversary of Day 3 of the Battle of Gettysburg. Last year I focused on Pickett’s Charge and lessons that a compliance practitioner might draw from it. This year I want to look at the Confederate artillery...more

You're hired! You're fired! Employers are totally boss when it comes to finding and keeping happy employees

Jeanette Bennett, BusinessQ: What does the job market look like in Utah County right now? Daryl Sisk, ESG: A great economic indicator is when companies are willing to invest in salespeople , which we are observing now...more

Gettysburg Day 2 – A Failure of Culture in Leadership and How to Overcome It

Today is the 151st anniversary of Day 2 of the Battle of Gettysburg. Last year I focused on Union General Dan Sickles and how is disobeying of his commanding officer’s order, destroyed his brigade and ended his military...more

Think Like a World Cup Goalie to Avoid the Paralysis of FMLA Abuse

If you’re anything like me, you’ve been swept up in the excitement of the World Cup over the past couple of weeks. However, now that we have entered the Round of 16, one thing leaves me both fascinated and unsettled about the...more

The Berlin Airlift and Different Approaches to Compliance Issues

As the USA played Germany in the World Cup, it is perhaps appropriate that we look back at another June 26th event that involved the US as we celebrate one of the great relief efforts in post-war Europe and the Cold War, the...more

Gettysburg Day 1 – Stepping Back to See the Whole Picture

Last year I did a three-day series on the Battle of Gettysburg and looked at some lessons that are applicable to a modern day compliance practitioner. As not only did I learn quite a bit about the battle, it seemed to strike...more

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

SEC Chair White Discusses Directors’ Responsibilities

In a recent speech at the Stanford Directors’ College, SEC Chair Mary Jo White discussed several “things that directors should know about the SEC.” Her speech focused on directors as gatekeepers, self-reporting of wrongdoing,...more

10 Tips for Encouraging Internal Misconduct Reporting

While many employers may feel uncomfortable in the face of headlines touting significant whistleblower payouts under provisions of the Dodd-Frank Act of 2010, the False Claims Act (FCA) and other federal laws, studies show...more

Increasing Risks of Fraud; Compliance Failures; A Willingness to be Unethical

Cyber security, corruption and unethical behavior pose significant risks for business enterprises, according to a new survey by EY titled “Overcoming Compliance Fatigue’. At the same time business organizations may be...more

The Final 6 Psychological Phenomena Undermining Your Compliance Training

Perhaps due to one of the aforementioned psychological reasons good people do bad things, someone has already behaved in an unethical manner. The induction mechanism postulates that the more people behave badly, the less they...more

An Event That Changed the World and Fostering Compliance Leadership – Part I

This coming Saturday, June 28th, is the 100th anniversary of most probably the single most momentous event of the 20th century; the assassination of Archduke Ferdinand and his wife Sophie in Sarajevo, then located in the...more

5 Reasons Compliance Should Demand Employees Attest to Policies in their Policy and Procedure Software

In many companies, it takes a lot of work to draft a policy and get it approved. Individuals have to make a commitment to get a policy written, and make the time to write content. Committees have to meet, edit and re-edit the...more

8 Best Practices to Help You Manage Risks Associated With Mobile “Big Data”

The more than six billion mobile devices in use worldwide offer companies access to a possible treasure trove of customer information in almost every consumer segment. These devices now create a constant stream of data—from...more

What’s In Your Code?

“Too legalistic.” “Boring.” “Hard to understand.” “Just a CYA for the company.” These are all real comments my Advisory Services team members and I have heard from employees at hundreds of organizations with relation to their...more

The Terrifying Reason Why Today’s Harassment and Discrimination Training Isn’t Enough

Nobody wants to think of their workplace as unsafe. As an employer, you have a vested interest in keeping your employees (not to mention yourself) as well as your company safe. Harassment and discrimination training is...more

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