News & Analysis as of

Culture of Compliance: A Low-Cost Compliance Strategy

Do the right thing. It will gratify some people and astonish the rest – Mark Twain Mark Twain would have been a terrific chief compliance officer. His words would have inspired people, and for those that obstruct...more

Giants Join Pantheon of Greats Through the Confluence of Culture and Strategy

Last week the San Francisco Giants won their third World Series championship in five years. This elevates them into the conversation of the Pantheon of elite teams over the past 50 years. Only the New York Yankees (1998-2000)...more

5 CEO’s Who Should Be Forced To Retake Anti Bribery Training

5 CEO’s Who SIn my last blog I wrote about billionaire Bernie Ecclestone bribing his way out of a bribery sentence; I’m still shaking my head on that one. Sadly, he is not the only mega rich businessman behaving badly,...more

CCOs Speak With Their Feet

Chief Compliance Officers act with integrity. When it comes to their work, they know when an organization is committed to compliance. They also know when ethics and compliance is “window dressing.”...more

A Lot Of Pain In KC And Leadership In Compliance

While sports fans can relive the triumphs and tragedies of their team’s ad naseum corporate leaders cannot not afford to do so. One key resource I have found, for not only the ideas of what a leader needs to do but the...more

Executive Compensation Considerations for 2014

Executive compensation is a topic that just won’t go away, particularly with pay disparity and pay for performance regulations still looming. We highlight below some of the matters directors should be considering as they...more

The CCO – Not The CEO – Creates An Ethical Culture

Consider it one of my (many) pet peeves – companies claim they have an “ethical” culture and cite the consistent statements by the CEO of his or her commitment to “ethics and integrity.” That’s it, that’s all, we have an...more

SEC Hits The ‘Reset Button’ On Failure To Supervise Liability For Legal And Compliance Personnel

On September 30, 2013, the U.S. Securities and Exchange Commission (SEC) – quietly, and with little fanfare – released an informal statement of policy in the form of frequently asked questions (FAQ), in which it addressed its...more

Twenty Compliance Questions For The Chief Executive Officer

Tone-at-the-top says it all. Without the support of the CEO, a Chief Compliance Officer is limited in what he or she can accomplish. If there is no commitment from the CEO, a CCO can propose and possibly build great...more

Reactive Compliance: An Oxymoron?

People make bad decisions. Companies make bad decisions. ...more

Stretching Compliance Resources

Chief Compliance Officers are creative people. What appears insurmountable to us mere mortals and attorneys, is just another daily challenge for a CCO....more

How To Ensure Compliance When The CEO Will Not Listen

Life as a Chief Compliance Officer is not so easy....more

The Marriage Of The CEO And CCO: A Match Made In Heaven

In the face of unprecedented enforcement risks, Chief Executive Officers are embracing the Chief Compliance Officer....more

Leveraging The Board And CEO Relationship To Improve Compliance

In the age of superstar CEOs who command media attention and excessive compensation packages, a company’s performance can often boil down to the relationship between the Board and the CEO....more

Tribute to Stan The Man and 11 Rules for Compliance Success

Today we honor Stan ‘The Man’ Musial who played 22 seasons for the St. Louis Cardinals (1941–1963) who passed away on Saturday. Musial was a record 24-time All-Star selection and is widely considered to be one of the greatest...more

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