Chief Compliance Officers Compliance

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Tribute to Dr. Jannetta and Improvisation in Compliance

It is rare you are able to write about someone who directly changed the quality of your life. Rarer yet that you did not know about him, only what he created, until you read his obituary. That happened to me recently when I...more

Shakespeare Week – Part III: Much Ado About Nothing and Incorporation of Social Media into Your Compliance Program

How does Shakespeare portend social media in the 21st century? I would submit that one only need look at Much Ado About Nothing to see how it should all play out. As with all Shakespeare’s plays there is quite a bit going on...more

Shakespeare Week – Part II: Henry V and Using Social Media in a Compliance Program

Most people remember the St. Crispin’s Day speech in Henry V as one of the greatest speeches in all of Shakespeare. However many people do not focus on what led to that speech which was that Henry went out among his troops,...more

CCOs: Living in the Land of False Promises

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

Shakespeare Week – Part I: Henry IV, Part II – Lawyers and Compliance

What is the most famous line in Shakespeare about lawyers? That is an easy one because lawyer-haters across the world (and lawyer-lovers as well) know it – First thing we do is kill all the lawyers. It comes from Henry IV,...more

Big Data in a Best Practices Compliance Program, Part III-Visualization

Today I continue my exploration of big data in a best practices Foreign Corrupt Practices Act (FCPA) compliance program. Yesterday, I considered how you might use big data in a best practices compliance program. Today I want...more

Incident Management – The New Frontier

Compliance programs are required to create and manage case investigation systems to handle potential misconduct, investigate allegations of wrongdoing and then dispense discipline. Lessons learned from these investigations...more

Big Data in a Best Practices Compliance Program, Part II

Today I continue my exploration of big data in a best practices Foreign Corrupt Practices Act (FCPA) compliance program. Yesterday, I considered what big data is and some ways to think about it. Today I want to move into some...more

Big Data in a Best Practices Compliance Program, Part I

I have founded several podcasts, one of which is Compliance into the Weeds, where Matt Kelly joins me each week take a deep dive into the weeds of a compliance related topic. As many of you know, Kelly is the former...more

New DOJ Guidance and FCPA Pilot Program – Part IV: Impact

This week I have been exploring the implications of the Department of Justice (DOJ) announcement last week of a new program Pilot Program around Foreign Corrupt Practices Act (FPCA) enforcement, together with the document,...more

New DOJ Guidance and FCPA Pilot Program – Part II: Cooperation

Today, I continue my exploration of the implications from the Department of Justice (DOJ) announcement last week of a new program around Foreign Corrupt Practices Act (FPCA) enforcement (herein “Pilot Program”)....more

New DOJ Guidance and FCPA Pilot Program, Part I-Introduction

Last week the Department of Justice (DOJ) held a Press Conference, open to all, led by Andrew Weissmann and Leslie Caldwell. At this Press Conference, they announced the culmination of several ongoing initiatives into a new...more

[Event] Tech Talk: Best Practices for Compliance & Ethics Leadership: Strategy, Data and Cultural Performance - April 27th,...

Please join us on April 27, for an afternoon with ethics & compliance executives from leading companies, assembled to share in an interactive dialogue on cutting-edge data, case studies, and new approaches to company culture...more

[Webinar] Hot Topics in Anti-Corruption Enforcement and Compliance - April 22nd, 12:00pm, EDT

The Center for Responsible Enterprise And Trade (CREATe.org) and Transparency International-USA (TI-USA), cordially invite you to join us for a briefing to discuss hot topics in international anti-corruption compliance and...more

[Event] Tech Talk: How Better Reporting Changes the Game for Compliance - April 19th, 12:00 p.m., Philadelphia

The role of the compliance executive is changing before our eyes. With more resources and greater access to the CEO and Board, there’s more impetus than ever before for compliance executives to demonstrate and bolster the...more

Your Company’s Compliance Program is Finished – April Fool's

Happy April Fool’s Day! Could you ever imagine coming to work one day and realizing that you have “finished” your ethics and compliance program? There is nothing left to do. You can go home. Ohhhh, if only it was so....more

Honest Assessment of the CCO-CEO Relationship

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 New “Wildy Effective” Book on Compliance from Kristy Grant-Hart

As the compliance profession grows, so to the need for valuable writing and scholarship, particularly from authors whothemselves have specific compliance experience and offer practical solutions. Kristy Grant-Hart recently...more

The Telltale Sign of Corporate Culture: Treatment of Whistleblowers

There are many important predictors of corporate culture. Everyone laments the difficult in measuring a company’s culture. There are a few issues, however, that may be inconvertible as a predictor of a corporate culture....more

Honoring the Button Down Shirt and Providing Outlets for Compliance

Elliot Gant died earlier this month. His name may not be familiar to you but his popularization of a product is: the button down shirt. According to his obituary in the New York Times (NYT), in the late 1940s, Elliot and his...more

[Webinar] Practical Guidance for U.S. Companies Expanding into Europe Through Commercial Arrangements - April 6th, 9am PST, 11am...

Please join us for a discussion focused on providing practical guidance to U.S. multi-national companies looking to grow their businesses in the European market. Panelists will consider various types of commercial...more

Prog Rock Week – Part III: Watcher of the Skies and Staying Sane as the CCO

As noted by Dan Epstein, in the Rolling Stone article “50 Greatest Prog Rock Albums of All Time”, the Genesis album Foxtrot was arguably the band’s first great album. The album “took the eccentric worldview and symphonic...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

Prog Rock Week – Part II: Karn Evil 9 and Kaizen for Compliance

Yesterday, I began Prog Rock Week with a tribute to Keith Emerson. So sit back my friends and enjoy the show that never ends, as I explore my favorite prog rock albums and cuts. Today, I will further honor Emerson and his...more

DOJ Fraud Section Chief and Compliance Counsel shed light on compliance program evaluations: the four areas of inquiry

There has been quite a buzz since the Department of Justice announced last year that it had appointed a compliance counselor to aid prosecutors’ evaluation of compliance programs and would focus on individual culpability for...more

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