News & Analysis as of

CEOs Compliance

Beneficial Ownership Due Diligence Requirements

by Michael Volkov on

The new FinCEN regulations requiring financial institutions to secure beneficial ownership information is fast approaching – May 2018. The US has been way behind in this regulatory area. As a result, money-laundering activity...more

Compliance Budgeting – Put Your Money Where Your Mouth is

by Ruder Ware on

You have adopted your basic compliance policies and procedures, established a reporting system and visibly rolled out your new compliance program. Your board of directors has passed a resolution decisively stating its...more

Lessons on Culture and Trust from Military Strategy

by NAVEX Global on

Last month we introduced an occasional series of posts about organizational trust: what it is, how it helps a business succeed, why trust is declining these days, and how companies can nurture a rigorous ethical culture based...more

Will Culture Change at Uber Before It’s Too Late?

by Thomas Fox on

What happens when a company delivers a superior product or service which is enthusiastically embraced by the consuming public, has a contented, if not equally enthusiastic, public facing work force and the business itself...more

Startup Culture Seems to Be Missing One Key Ingredient—Culture

by NAVEX Global on

Sometimes when I read tales of startups riddled with problems of corporate culture and poor conduct, I want to grab the founders by their shoulders and shout, “You’re doing it wrong!” I suspect I’m not alone among compliance...more

A New Resource for the Modern Compliance Professional

by NAVEX Global on

There is a knowledge gap among compliance professionals, and it’s not due to a lack of information. In fact, the main culprit may be too much information located in too many disparate places. Our industry is continuously...more

New Attorney General Issues Guidance on Corporate Compliance Programs

by Foley & Lardner LLP on

The US Department of Justice (DOJ) Fraud Section has published new guidance for corporate entities on corporate compliance programs. The guidance, titled, “Evaluation of Corporate Compliance Programs” (Compliance Program...more

When Will Shareholders Force Boards to Do Compliance?

by Thomas Fox on

Today we honor one of the most iconic moments of World War II (WWII) and one of the most famous photographs of all time, that of the Marines raising the US flag on Mount Suribachi on the island of Iwo Jima. Marine...more

Revenge of the Whistle-blower: Possible Consequences of Compliance Failures

In a company with a robust compliance culture, potential whistleblowers can express their concerns without fear of retribution. By contrast, the penalty for a culture that silences whistleblowers just got steeper. Companies...more

External Perception of Your Internal Culture Is a Big Deal: What Uber’s Problems Have Taught Us about Reputation

by NAVEX Global on

Ethics and compliance officers might often feel like your company’s corporate culture gets tied into knots, with so many groups imposing demands on your organization’s behavior. But really, a better turn of phrase here...more

Walking the Walk and Talking the Talk – A CEO’s Commitment to Ethics and Compliance

by Michael Volkov on

The phrase tone at the top is becoming trite. Compliance professionals use it over and over, and few people explain how to apply the concept. Speakers and webinar presenters always gloss over tone at the top, emphasizing...more

Understanding the Benefits of Benchmarking & How to Do It Successfully

by NAVEX Global on

To begin, let’s define “benchmarking.” There is often confusion regarding the difference between benchmarking and assessment. ...the process of benchmarking is a subset of compliance program assessment....more

The Power of Honesty – A Candid Assessment of Your Compliance Program

by Michael Volkov on

The secret of life is honesty and fair dealing. If you can fake that, you’ve got it made.  Groucho Marx - We are all taught the importance of honesty. But there are very different aspects to this otherwise simple...more

Compliance Expertise Needed on the Board

by Thomas Fox on

This week I have been exploring the different types compliance committee’s which an organization can utilize to help effect a best practices compliance program. I have written about compliance committee’s at the Board of...more

On Leadership – A Simple Message and Asking the Right Questions

by Thomas Fox on

Sometimes, as a leader it is important to say something numerous times, to repeat your message so that it will come through loud and clear. For any Chief Executive Officer (CEO) it is incumbent to continually reinforce your...more

When Tone at the Top Is Missing

by Michael Volkov on

We all tend to gloss over a critical requirement for an effective ethics and compliance program – tone-at-the-top. I hate to be dogmatic about the issue but, as Mel Brooks said in the Curb Your Enthusiasm (Season 4, Episode...more

FCPA Enforcement Action Highlights Risks for the Financial Services Industry and Individual Executives

by Dechert LLP on

New York-based hedge fund Och-Ziff Capital Management Group (the “Hedge Fund”) agreed to pay approximately $412 million to resolve charges brought by the U.S. Securities and Exchange Commission (“SEC”) and Department of...more

Great Rockers at 50 – The Moody Blues and Being a Great Boss

by Thomas Fox on

One of the favorite sobriquet’s I have recently received was from Alison Taylor who called me the ‘rock and roll compliance blogger’. I love to listen to classic rock and enjoy live performances even more. With that moniker...more

Corporate Law and Governance Update - October 2016

by McDermott Will & Emery on

New Officer and Director FCA/Stark Exposure - Recent developments may merit a measured briefing to corporate leadership on the potential exposure of health industry officers and directors to financial penalties and other...more

CEO of World Trade Center contractor found guilty of fraud by misstating compliance with Port Authority’s minority- and...

by Dorsey & Whitney LLP on

Public entities at the Federal, state, and local levels set aside contracting opportunities, provide preferential price treatment, or otherwise grant favorable treatment to contractors (1) owned by veterans, women,...more

Preparing for GRC in the Decade to Come

by NAVEX Global on

What will the world of governance, risk, and compliance look like by 2025? This field is too broad and fast-changing to talk about the far future (and in GRC, 10 years definitely is “the far future”) with any...more

Want to Work in Compliance – Learn How to Read a Balance Sheet

by Thomas Fox on

One of the most interesting tag lines I heard at Compliance Week 2016 was the following, if you want to work in my compliance department; you need to learn how to read a balance sheet. I thought that single line encapsulated...more

CCOs: Living in the Land of False Promises

by Michael Volkov on

We all have heard the scenario involving a compliance professional. A new CCO joins a company with promises from the board, the CEO and senior executives of cooperation, compensation and support for a robust independent...more

Honest Assessment of the CCO-CEO Relationship

by Michael Volkov on

One very accurate indicator of a compliance program is the relationship between the CEO and the Chief Compliance Officer. If a CCO is repeatedly making excuses for a CEO who does not devote enough time to compliance, you can...more

A Lesson in Compliance: Part II

The following is an interview with Richard Bistrong and Alessia Lamonaca, Program Marketing Specialist at Resolver Inc. In “A Lesson in Compliance with Richard Bistrong: Part I“, Richard discussed the thought process...more

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