News & Analysis as of

Mid-Year FCPA Report, Part II

Today, I continue my look at what I think were some of the most significant highlights from the first half of 2014 relating to the Foreign Corrupt Practices Act (FCPA). Yesterday, the focus was on corporate and individual...more

Legal Check-Ups: Maximizing Business Value With Preventative Care

For decades, people have been making doctors’ appointments strictly for preventative care reasons. These check-ups are not prompted by symptoms, but rather in hopes of finding potential problems before they become harder to...more

Does Your Company Align Compliance Training To An Annual Ranking of Risks?

PwC came out with their annual State of Compliance survey, which is always well done, and has given me lots of fodder for upcoming blogs. I found the below illustration in the accompanying “chart pack” and found it...more

Mid-Year FCPA Report, Part I

As we are now past the halfway mark of 2014, I thought it might be a good time to look at the year in review, so over the next couple of days, I will be reviewing what I believe to be some issues and developments to the...more

How A Failure to Set Tone-at-the-Top Led to a Fractured Vertebra

What does ‘Tone-at-the-Top’ mean to any anti-bribery or anti-corruption program? Conversely, what if management says to do the right thing but only judges employees on their sales; what is the message that only ‘Talking The...more

An Ounce of Fraud Prevention Is Worth Trillions of Dollars

A recent study, Report to the Nations on Occupational Fraud and Abuse: 2014 Global Fraud Study from the Association of Certified Fraud Examiners (ACFE) analyzed nearly 1,500 cases of occupational fraud as reported the...more

BNP: A Window Into A Systemic Compliance Breakdown

BNP Paribas’ recent settlement of nearly $9 billion for violating US Sanctions against Sudan, Iran and other countries is another important achievement for the US Attorney’s Office in the Southern District of New York and the...more

Anti-Bribery and Corruption Compliance Practices

Compliance Week published its 2014 Anti-Bribery and Corruption Benchmarking Report, a survey of over 180 executives involved in ethics and FCPA compliance and internal audit. The Survey focused on risk, dealing with third...more

The Network News

Fraud Index Released-Startling Findings - A survey of more than 1,400 organizations worldwide revealed startling 4th quarter results on fraud trends for 2013. The Fraud Reporting Percentage (FRP), which measures fraud...more

CCOs Need To Adopt Their Own Code of Conduct

As CCOs become a key player in the corporate governance world, ethics and compliance leaders are developing principles to be used by compliance pofessionals. It is a natural process that reflects the growing...more

Workplace Monitoring and Performance: A Mixed Bag?

Technology increasingly creates opportunities to monitor employee performance and workplace behavior. Monitoring is generally considered to be a tool that is likely to increase employee productivity and performance....more

Regulation: The New Normal for Hedge Funds?

By all accounts, hedge funds are having a great year. According to the Wall Street Journal, fund managers added a net $26.32 billion of new cash in the first quarter, the highest in almost three years. Better yet, many...more

FCPA Compliance and Ethics Report-Episode 70-World Cup Report-Part III [Video]

In this episode, the World Cup Report Part II. Mike Brown and I continue our exploration of compliance lessons from FIFA and the 2014 World Cup. We discuss why following the money is so critical, then analyze the US tie with...more

Why BoDs and CEOs Need Workplace Harassment Training Too: American Apparel’s Board and CEO Violated Their Own Code of Ethics

I was driving home Wednesday evening, listening to the news on the radio, when I heard the story about Dov Charney, the CEO of American Apparel, being fired by the company’s board of directors. According to that story and...more

How Does Your Ethics & Compliance Training Measure Up?

For the last five years, NAVEX Global has been proud to provide the industry’s best and most statistically accurate hotline benchmarking data. Our annual reports are a trusted resource for ethics and compliance officers,...more

Fixing a Company’s Ethics and Compliance Culture

We all have been following the “turn around” projects at some of the big companies — Walmart, Morgan Stanley, SNC-Lavalin, just to name a few. Changing a corporate culture, even under the Sword of Damocles, can be a...more

The Magna Carta and Scrutiny of Your Compliance Program

Sunday, June 15 was Father’s Day so for all us fathers out there, it was our day and I hope that you enjoyed and cherished it. It was also the anniversary of what I believe was one of the greatest achievements in Anglo...more

Employers Beware: Repurposing HR Documents Can Create Liability

If you are like many HR professionals, when you are tasked with preparing documents like offer letters, noncompete agreements, or separation agreements, you start by pulling out a document that you have used in the past and...more

Security Breach Notification Chart - Revised June 2014

Perkins Coie's Privacy & Security practice maintains a comprehensive chart that summarizes state laws regarding security breach notification. The chart is for informational purposes only and is intended as an aid in...more

Top Five Tips For Minimizing The Risk of Class Action Litigation

Beyond the usual substantive advice—maintaining effective compliance and document management systems, for example—our class action defense team suggests that companies implement the following relatively straightforward...more

Questioning The Caremark Standard

The Justice Department’s aggressive enforcement program has had a profound impact on corporate governance. As a consequence, the last there has been a significant change in emphasis in the C-Suite, among general counsel and...more

FCPA Compliance and Ethics Report-Episode 66-Visit with the FCPA Professor [Video]

In this episode I welcome back the FCPA Professor who gives his views on the Esquenazi decision, his recent book and his upcoming FCPA Institute....more

Executive Briefing - May 2014

In This Issue: - ADA Reasonable Accommodation Requests: Avoid Rigid Policies and Consider Technology - IRS Issues Guidance on Qualified Plan Amendments Regarding Same Sex Spouses - OSHA to Refer Untimely...more

Compliance Matters: What the Heck Is a Robo-adviser?

Observe families at restaurants these days and you’ll see a common image – several heads bowed over individual electronic devices. Like it or not, this is how we communicate, do business and manage our lives. We all can trade...more

Employee-Driven Policy Management: Involving Employees in Policy Creation

It is a known psychological observation that when people are involved in creating something, they get emotionally attached to it. Think of the passion that an artist has for her work. The artist puts in hours, sweat and lots...more

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