Chief Compliance Officers

News & Analysis as of

Defining the Duty of the Board of Directors over Compliance Functions

I recently posted a blog article about a document released by the Department of Justice entitled “Evaluation of Compliance Programs.” As the title of the document might suggest, the DOJ release covers a variety of issues it...more

Leadership Lessons from the Movies

Today, I wanted to consider some of the recent leadership lessons I have explored on my podcast, 12 O’Clock High, a podcast on business leadership. In the series, host Richard Lummis and myself, mined some of our favorite...more

Legal and Compliance Coordination – An Essential Foundation to an Effective Compliance Program (Part IV of IV)

Here is a profound grasp of the obvious – Lawyers can be difficult people. Some like to condemn the profession in its entirety (and carry with them a collection of lawyer jokes). As an attorney, I beg to differ. Many...more

LRN Compliance Program Effectiveness Report: Part III

This week I have been considering the LRN Corporation’s 2016 Ethics and Compliance Program Effectiveness Report (LRN Report) by outlining some of its general findings. Today, I want to conclude by using the Report as a road...more

LRN Compliance Program Effectiveness Report: Part II

Yesterday I began a series on the LRN Corporation’s (LRN) 2016 Ethics and Compliance Program Effectiveness Report (Report) by outlining some of its general findings. Today, I want to focus on its detailed findings as it...more

Bridging the Gap: Uniting Compliance and Financial Controls (Part II of IV)

A Chief Compliance Officer has a number of important relationships to attend to in the corporate governance landscape. A critical relationship needed to “operationalize” a compliance program is a partnership between a CCO and...more

Doing Business in Cuba Under the FCPA

I want to consider the impending opening of Cuba to US business, what you can do now and what you must wait for until the embargo is lifted; all from the perspective of compliance with the Foreign Corrupt Practices Act...more

Operationalizing Compliance – Natural Partners and Breaking Down Walls (Part I of IV)

An effective compliance program is built on internal coordination and relationships. Applying the Justice Department’s terminology, an effective compliance program is one that is operationalized. At first glance, you may...more

Next off the block - AEOI

You might have thought you have enough on your plate getting to grips with anti-money laundering rules closely followed by FATCA – but it's not over yet! Next off the block is the Automatic Exchange of Financial Account...more

EU prolongs sanctions against Russia

On 13 March 2017, the Council of the European Union (EU) adopted Council Implementing Regulation (EU) 2017/437 and Council Decision 2017/445/CFSP extending the validity of sanctions (Restrictive Measures), including the asset...more

Physician Practice Compliance Programs

In today’s environment of complex regulations, aggressive prosecution, exorbitant penalties, and hungry whistleblower attorneys, it is necessary for medical practices to maintain effective compliance programs. Failure to do...more

Meeting the challenges of Customs compliance: 11 questions to ask yourself, 6 action steps

In the global environment in which we operate, exchanging goods internationally always entails basic customs issues.  Among these are the import/entry process, tariff classification, valuation, country of origin labeling, and...more

Managing Your Ethical Culture: Measure, Intervene and Remediate

In the wake of ever-constant business scandals (e.g. ZTE, VW, Takata, Odebrecht), chief compliance officers have to refresh their approach and strategy. Everyone agrees, or at least I think they should agree, that a company’s...more

DOJ Extends FCPA Pilot Program

On Friday, March 10, Kenneth Blanco, the acting assistant attorney general for the Department of Justice’s Criminal Division, announced that the FCPA Pilot Program would not expire on April 5, 2017, as originally scheduled....more

SEC Opens Cease-and-Desist Order Proceeding against Broker-Dealer and Chief Compliance / AML Officer

As we have highlighted in prior posts, regulators of financial institutions, including FinCEN, FINRA and SEC, have increasingly brought actions to bring organizations – and individuals – into compliance with AML / BSA...more

Use of Social Media In a Best Practices Compliance Program

Why should you integrate social media into your compliance program? In a compliance program, a large portion of your consumers/customers are your employees. Social media presents some excellent mechanisms to communicate the...more

Creation of Roundabout and Operationalization of Compliance

Readers of this blog know of my love for progressive rock music and that my favorite prog rock group is Yes. You might understand how thrilled I was when the Wall Street Journal (WSJ), of all places, ran an interview with...more

Operationalizing Compliance – How to Reframe the Issue

One of the biggest requirements for a Chief Compliance Officer (CCO) or compliance practitioner is to be a problem solver. Most of us are asked to help solve problems on an almost continuous basis. This leads to one failing...more

The Fall of the Alamo and Empowerment of the Compliance Professional

Today is the anniversary of the most historic day of many in the history of the great state of Texas, the date of the fall of the Alamo. While March 2, Texas Independence Day, is when Texas declared its independence from...more

DOJ Publishes New Guidance for Compliance Programs

On February 8, 2017, the Fraud Section of the U.S. Department of Justice (the “DOJ”) published a guide for companies called “Evaluation of Corporate Compliance Programs” (the “Guidance”). The Guidance is composed of common...more

Funds Talk: March 2017

OCIE Highlights Frequent Topics for Compliance Deficiencies for Investment Advisers - On Feb. 7, 2017, the Securities and Exchange Commission’s (SEC’s) Office of Compliance Inspections and Examinations (“OCIE”) published...more

The General Cable FCPA Enforcement Action

The Department of Justice (DOJ) and Securities and Exchange Commission (SEC) continued their stunning run of 2016 Foreign Corrupt Practices Act (FCPA) enforcement actions right up to the end of the year with the announcement...more

DOJ issues additional guidance on how it evaluates corporate compliance programs

In a notable but quiet development, the Department of Justice's Fraud Section recently issued additional information about how DOJ prosecutors evaluate a business's compliance program "in conducting an investigation …,...more

DOJ Sheds Light on How it Evaluates Corporate Compliance Programs

Earlier this month, the Criminal Division of the U.S. Department of Justice (“DOJ”) issued guidance on how it evaluates corporate compliance programs when investigating a corporate entity, deciding whether to bring charges,...more

Crick, Watson and DNA in Compliance

Of all the discoveries made in the 20th century one of the most tectonic was the discovery of the double-helix structure of DNA, the molecule containing human genes, by Cambridge University scientists James D. Watson and...more

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Cybersecurity

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