Chief Compliance Officers Ethics

News & Analysis as of

Lessons of the Deutsche Bank Story

Deutsche Bank, a German lender agreed to plead guilty and pay $2.5 billion to settle with regulators in the United States and the United Kingdom in connection with criminal charges that it rigged and manipulated the London...more

FCPA Compliance and Ethics Report-Episode 153-Doing Compliance in an Economic Downturn [Video]

The energy industry is in turmoil from the drop in the price of oil from $100 down to around $50 per barrel. Many energy companies have laid off up to 30% of their workforce. What can you do from the compliance perspective...more

Why Reputation Risk is Quickly Climbing the Ethics and Compliance Priority List | Does Your Ethics and Compliance Training Address...

A company’s reputation is perhaps its most important asset; I’d argue that ethics and compliance professionals should be as passionate about their companies’ reputations as their marketing teams are about their corporate...more

A Journey to the Dark Side of Business Ethics and Steps to Protect Your Organization

On May 11th, 2015 I will lead a session at the GRC Summit 2015 titled “A Journey to the Dark Side of Business Ethics and Steps to Protect Your Organization.” My journey comes not from the fields of audit, law, investigation...more

The Two Ps of Compliance: Promote and Protect

I often complain about compliance messaging. Compliance officers have to be careful to avoid becoming viewed as “nattering nabobs of negativism,” as former Vice President Spiro Agnew famously stated about the liberal media....more

The Empowerment of the CCO: Old Ways Die Hard

The compliance profession continues to evolve and grow. More lawyers and law students are seeking knowledge and training in the field of ethics and compliance. There is a reason for that....more

[Event] The Intersection of Compliance & HR: How to Leverage Organizational Strengths to Develop a More Ethical Global Culture -...

Developing and maintaining an ethical culture is more crucial than ever. Compliance and HR, both traditionally “protectors” of the company interests, each have a big role to play in establishing, growing and maintaining a...more

[Event] The Intersection of Compliance & HR: How to Leverage Organizational Strengths to Develop a More Ethical Global Culture -...

Developing and maintaining an ethical culture is more crucial than ever. Compliance and HR, both traditionally “protectors” of the company interests, each have a big role to play in establishing, growing and maintaining a...more

[Webinar] Creating an Engaging Global Code of Ethics – Transcending Cultural Differences - April 7, 1-2 pm EST

It’s difficult enough to create a highly engaging Code of Ethics when your employees all reside in one country and speak one language. But when they operate everywhere from Beijing to Buffalo to Berlin, crafting an engaging...more

Corporate Branding and Ethics and Compliance Charters and Policies

There is a lot written on the value of symbols in political and public relations campaigns. My favorite President, Franklin Roosevelt, was a master at using symbols to communicate powerful ideas to the public....more

Compliance Program Effectiveness Requires Accountability

A compliance program requires accountability. You can have ethics and you can have compliance policies, procedures and all the bells and whistles, but someone has to be accountable....more

Trust in the Balance

This tough Cookie is grateful to have been asked to submit some articles for Tom Fox while he visits with his daughter during Spring Break. When I pondered what would be an appropriate topic for the week, immediately...more

The Importance of Organizational Justice

A company is its own world. A culture of ethics and compliance cannot exist without organizational justice. If company managers and employees perceive that the internal justice system does not work, the company will be...more

Ingots of Gold & SEC FCPA Enforcement – Communication – Part IV

Today I want to use the Christie’s story Ingots of Gold as an introduction to some of the regular communications that the Securities and Exchange Commission (SEC) representatives frequently provide in public forums, regarding...more

Ethics and Compliance, Not Compliance and Ethics

I have several pet peeves in the ethics and compliance space (who knows, maybe in the personal space as well but we are all reluctant to acknowledge those except to our loved ones)....more

Does Compliance Need More “Darkside”?

Since my release from the Federal Prison Camp in December 2013, I have been observing many different perspectives in the compliance discourse that have broadened my own understanding of “compliance”. From the fields of law,...more

Commerzbank’s Compliance Catastrophe — Flouting Sanctions and BSA/AML Laws (Part II of III)

Sometimes a picture is very clear but legal words and concepts are proffered in an attempt to disguise and even deceive. As set forth in the factual statements outlined by the government, and agreed to by Commerzbank, it is...more

Webinar - Benchmarking Your Hotline in 2015: How Does Your Data Measure Up?

Ethics officers agree—one of the most effective ways to measure your compliance program is by analyzing data from internal reporting systems. But how can you know what is good or bad without context? We’ve compiled...more

Protections for CCOs from Wrongful Termination

This week the Houston Texans unceremoniously cut the franchise’s greatest player in its short history, receiver Andre Johnson. This was after his being hauled into the office of the head coach and being told that he would...more

NAVEX Global’s 2015 Ethics and Compliance Hotline Benchmark Report: Three Ways to Put Our Data to Work for You

Ethics and compliance professionals regularly gather and analyze report data made through their numerous reporting systems. What they do with this data may mean the difference between identifying potential problems early, or...more

FCPA Compliance and Ethics Report-Episode 139-Amy Lilly, President of GHBER [Video]

In this episode I interview Amy Lilly, President of the Greater Houston Business and Ethics Roundtable (GHBER), the premier ethics and compliance organization in Houston. ...more

Reminders from the Goodyear FCPA Settlement

FCPA settlements carry with them a basket of compliance and enforcement lessons. The recent Goodyear settlement with the SEC for $16 million carries some important compliance and strategic reminders for ethics and compliance...more

FCPA Compliance and Ethics Report-Episode 138, Tribute to Mr. Spock and Strict Liability for Internal Controls Under the FCPA [Video]

In this episode, I pay tribute to Leonard Nimoy and his immortal character Mr. Spock. I also discuss that the SEC may be moving towards a strict liability standard for internal controls under the FCPA....more

Financial Institutions and Ethics – Some Just Do Not Get It

I am starting to repeat myself – it is a sign of old age (ask my wife), or maybe I have a point to make. I have written several times about financial institutions and the need to embrace a culture of ethics and compliance....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

254 Results
|
View per page
Page: of 11

All the intelligence you need, in one easy email:

Great! Your first step to building an email digest of JD Supra authors and topics. Log in with LinkedIn so we can start sending your digest...

Sign up for your custom alerts now, using LinkedIn ›

* With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name.
×