News & Analysis as of

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

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

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

Avoiding Silos: Bringing Together the Key Compliance Players

One of my favorite SNL skits from years ago was John Belushi as Henry Kissing, singing “Getting to Know You” with his arms around Menachem Begin and Yasser Arafat – a true classic. The same can be said for the compliance...more

An “Effective” Compliance Program is Not a Perfect One

The golden ring for every chief compliance officer is an “effective” ethics and compliance program. But if you ask a CCO if the company’s compliance program is ”effective,” they will bow their heads and reluctantly admit,...more

Building a Culture-Changing E&C Program: Six Essentials

Compliance programs are effective only to the degree that they help build and support a strong organizational culture. So what does a strong corporate culture look like? And what ethics and compliance tools can help support...more

Future of Corporate Monitors

No company wants a corporate monitor. If you ask any General Counsel, Chief Compliance Officer or Chief Executive Officer, they can list an infinite number of alternative punishments they would rather suffer than have a...more

14 Ways To Make Your Employees Fall In Love With Your Code Of Conduct: Part One

We recently kicked off the year by hosting two ethics and compliance events in Charlotte and Nashville. Lori Tansey Martens, President and Founder of the International Business Ethics Institute, spoke to an exclusive group of...more

The Compliance Revolution and Improving Board Oversight

We all know there has been a sea change in the compliance profession. No longer are compliance professionals relegated to the backwater of corporate governance. Instead, they are now front and center and being asked to design...more

A Most Violent Year – Doing What is Most Right

It is rare to say but Hollywood occasionally can provide us with ethics and compliance lessons. My wife and I recently saw the movie, A Most Violent Year. It is worth seeing – not just for entertainment, but also for the...more

Double The Impact of Your Ethics and Compliance Program – Part Five of the Engaging Middle Managers Series

By now, you’re probably sold on the benefits of a liaison network. As we’ve learned from Jeff Piposar, Director and Executive Advisor for CEB Compliance & Ethics, a liaison network is an effective way to double the resources...more

Heightened Enforcement Efforts Focus on Financial Institutions’ ‘Culture of Compliance’

The first of a three-part series on the new landscape of anti-money laundering enforcement - During hearings conducted in 2012 by the U.S. Senate’s Permanent Subcommittee on Investigations, Senator Tom Coburn commented...more

Double the Impact of Your Ethics and Compliance Program – Part Four of the Engaging Middle Managers Series

Earlier this month, we had the pleasure of listening to Jeff Piposar, Director and Executive Advisor for CEB Compliance & Ethics, share how to multiply limited resources in our webinar, “Building A Scalable Compliance...more

Improving the Message of Ethics and Compliance

To succeed in life, you need two things: ignorance and confidence – Mark Twain - I have a problem with writers, columnists, consultants, bloggers and anyone else who puts a pen to paper (as we used to say) on ethics...more

2015 Trends: #10 Cybersecurity: A Risk that Needs to be on Your Ethics and Compliance To-Do List

The starting point for every ethics and compliance program must always be an analysis of the ethics and compliance risks faced by the organization. In that light, it’s important to listen to James Comey, Director, U.S....more

2015 Trends: #9 Technology-enabled ethics and compliance is ready for takeoff

By every indication we are about to witness a dramatic leap in technology-enabled ethics and compliance. Tech Advancement in Key E&C Areas - Trends and our own client experiences are demonstrating that we are...more

The Patriots, the NFL and Compliance

You knew it was coming. No, not a Cialis-themed blog post, but close enough, ‘Deflategate’ and the compliance angle. In honor of this weekend’s Super Bowl it is certainly worth considering. You might think with all that is...more

Healthcare Compliance Programs: Stepping Up the Game

The Affordable Care Act was enacted in 2010 – can anyone remember back that far? The ACA required Medicare and Medicaid providers to have an ethics and compliance program....more

2014 Corruption Perceptions Index Highlights Need for Greater International Cooperation

Following the release of Transparency International’s 2014 Corruption Perceptions Index (CPI), the international watchdog group urges greater international cooperation to stem corruption and abuses of power that undermine...more

Good Bye to Mr. Cub, the Siege of Vienna and Doing More Compliance with Less

Let’s play two! That was perhaps the most famous maxim from Ernie Banks, who died this past weekend at the age of 83. As for a sobriquet, it does not get much better than being known as ‘Mr. Cub’ from any baseball fan from 9...more

Time To Apply A Risk-Based Approach To Information Security Training

Digital warfare seems to be the name of the game these days. Terrorists attack our database infrastructures and wreck havoc by making personal information public. Look at the most recent attacks on Sony, Chick-Fil-A and...more

FCPA Compliance and Ethics Report-Episode 124, The Oscars and Compliance, Part I with Jay Rosen [Video]

In this episode I begin a five-part series on the Oscars and Compliance with recovering Hollywood screenwriter Jay Rosen. In this Part I, we review the process by which films are nominated for the Oscars and the campaigns...more

Doubling The Impact of Your Ethics and Compliance Program With A Liaison Network

Last week we had the pleasure of listening to Jeff Piposar, Director and Executive Advisor for CEB Compliance & Ethics, share how to multiply limited resources in our webinar, “Building A Scalable Compliance Infrastructure:...more

2015 Trends: #7 Crime and Punishment

On the accountability and punishment front, three trends bear watching: 1) Deferred Prosecution Agreements (DPAs) DPAs and Non-Prosecution Agreements (NPAs) allow prosecutors to require corporate reforms and...more

Just Say No, the Power of No and Compliance

What is the first thing that you think of about Former First Lady Nancy Reagan? Right up there for me is three things actually Just Say No, which was her campaign against not only drug abuse but also premarital sex in the...more

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