Chief Compliance Officers

News & Analysis as of

Minnie Minoso Broke Barriers; Goodyear Pushes Compliance Forward

Yesterday we celebrated the hard-nosed playing style of Anthony Mason, who recently passed away. Today we honor a true pioneer in professional baseball, Minnie Minoso, or Mr. White Sox. Minoso was the first black Cuban to...more

Final Rule on Human Trafficking Prevention Set to Take Effect and Require Additional Compliance Actions for Certain Contractors

Starting the first week of March, federal contractors will be subject to new prohibitions and obligations related to human trafficking. These new requirements stem from a final rule issued January 29, 2015, that significantly...more

FCPA Compliance and Ethics Report-Episode 137, interview with Loren Steffy [Video]

In this episode I visit with Loren Steffy, former business columnist from the Houston Chronicle. ...more

Corporate Board Responsibility for Compliance

You can talk all you want about the importance of “tone-at-the-top.” People use that term all the time and everyone nods their heads in agreement. But what is the “top”? Is it the CEO? Is it senior executives? Is it the...more

Fleet-Footed Investigations and Prompt Remedial Action: The New Normal

Does your company respond to all internal concerns immediately, investigate them thoroughly and remediate them with unmatchable speed? What if the concern comes from an officer, director, lawyer, compliance professional,...more

Tenth Quarterly Report Of The Independent Athletics Integrity Monitor Pursuant To The Athletics Integrity Agreement Among The...

This is the tenth quarterly report of the independent athletics integrity monitor (“Monitor”) pursuant to article IV of the Athletics Integrity Agreement (“AIA”) among the National Collegiate Athletic Association (“NCAA”),...more

New Anti-Trafficking Rule Presents Significant Challenges for Government Contractors

Effective today, a new Anti-Trafficking rule will substantially change and increase federal contractors’ compliance and certification requirements. ...more

Goodyear FCPA Fine Highlights Benefits of Cooperation and Robust Compliance Controls

The Goodyear Tire & Rubber Company (“Goodyear”), one of the world’s largest tire companies, reached a significant settlement with the U.S. Securities & Exchange Commission (“SEC”) in connection with charges that two of its...more

The Need for Robust OFAC Compliance Programs

People are good at complaining. People often say to themselves, “Things are not going my way,” and they love to feel sorry for themselves. People who are professional victims are toxic....more

FCPA Compliance and Ethics Report-Episode 136, Joel Borgquist, President of Etik [Video]

In this episode, I visit with Joel Borgquist, President of Etik a company that works to insure transparency in corporate social responsibility programs and assists in conflict resolution. ...more

Bribery and Compliance in India: Know the Challenge and Prepare for It

Today I welcome Sherbir Panag, for another post in my series of country discussions, where we will address Bribery and Anti-Bribery Compliance in India. As a forward, this was an interesting engagement, as it provided me...more

Building a Better Board Report: Essential Strategies for Chief Compliance Officers

Need to better engage your board—and get buy-in for E&C program investments? Fully leveraging your board reporting opportunity is essential. As compliance professionals, most of us are very proud of the...more

Boiling Down the Attorney-Client Privilege Issue

If you want to inflame a discussion between general counsels and chief compliance officers, just try to develop a consensus on the importance of attorney-client privilege. A GC and a CCO will mouth the right words – of...more

Farewell to Mr. Spock and Risk Assessment Under COSO

Leonard Nimoy died last Friday. He will be forever associated with the role of Mr. Spock in the original Star Trek television show which premiered in 1966. The original series ran for only three years but had a full life in...more

Gulliver’s Travels, Truth or Fiction?

There was once a man named Gulliver who traveled widely and wrote a book about his adventures called Gulliver’s Tales. During his first voyage, Gulliver is washed ashore after a shipwreck and finds himself a prisoner of a...more

Whistleblower Laws Increasingly Vital for Government Enforcement Efforts

In 2014, a crewman aboard a Japanese cargo ship videotaped the vessel illegally dumping oily waste into the ocean and later turned the tape over to the U.S. Coast Guard. One year later, the resulting $1.8 million penalty for...more

FCPA Compliance and Ethics Report-Episode 135, Kevin Brady on the process of sales for the compliance practitioner [Video]

In this episode I visit with noted sales process expert Kevin Brady who discussed sales as a process and how the compliance practitioner can use these concepts in communicating the message of compliance to an employee base. ...more

Private Equity Fund Managers: Annual Compliance Reminders and New Developments

A summary of a private equity firm’s compliance obligations, a discussion of notable developments in 2014 and highlights of the SEC’s examination priorities for 2015. US federal laws and regulations, as well as the...more

7 More Ways To Make Your Employees Gush Over Your Code Of Conduct

Just before Valentine’s Day, we published the first part of our “14 Ways to Make Your Employees Fall In Love With Your Code of Conduct” series. As Lori Tansey Martens, President and Founder of the International Business...more

New Coke and Technological Solutions as a Response to the Economic Downturn

Earlier this week, Donald R. Keough died. He was the leader of Coca-Cola, who pressed for and introduced the infamous New Coke to the world in 1985 and then the return of the original formula just 10 weeks later. Since I was...more

Doctor “No” Versus Doctor Practical

Better to keep your mouth shut and appear stupid than to open it and remove all doubt. — Mark Twain Years ago (seems like eons), I wrote a column lamenting lawyers and compliance professionals who operate by telling their...more

Doing Less with Less and the Unification of Germany

I am attending the SCCE Utilities and Energy Conference in Houston this week. As usual, the SCCE has put on a great event for the compliance practitioner. This year there is live blogging by Kortney Nordum so there should be...more

FCPA Compliance and Ethics Report-Episode 134, Judge Rakoff, Judge Leon and their comments on DPAs, with the FCPA Professor [Video]

In this episode, the FCPA Professor and myself continue our exploration of DPAs and NPAs through the recent book review of Judge Rakoff and rejection of a DPAs by Judge Leon in an export control case. ...more

The Time is Now for Every Company to Conduct Culture Audits

Companies and CCOs are starting to get the message – the best and most effective control against code and legal violations is a culture of ethics and compliance. Those are high-minded ideals for high-level executives....more

Victory or Death: William Barret Travis and the Obligations of a CCO

Today in 1836, Alamo commander William Barret Travis issued his famous ‘Victory or Death’ plea for reinforcements. It was short so I quote it in full: To the People of Texas & All Americans in the World...more

821 Results
|
View per page
Page: of 33