Chief Compliance Officers Ethics

News & Analysis as of

[Webinar] Response and Recovery Planning: Corporate Ethics and Compliance Failure - August 11, 1:00pm Central

Most companies have a plan for disaster recovery related to technology, physical location, and data – but what happens when you must respond to allegations of a violation of customer trust or compliance? Does your...more

One Anti-Corruption Compliance Panel: Multiple Perspectives

On July 23rd, 2015 at the Hotel Kitano in New York City, The Network (www.tnwinc.com) hosted an Anti-Corruption Compliance Panel discussion titled “Why Anti-Bribery Programs Fail and How Compliance Must Evolve.” Cindy Curtin...more

A Hands-On CEO and Support for Compliance

A compliance program without CEO support is almost doomed to be ineffective. We all live by the standard of an “effective” ethics and compliance program. I am always reluctant to embrace a dogmatic expression but the support,...more

Toshiba Scandal Underscores the Importance of a Speak-Up Culture

In what’s being called the most damaging event in the company’s 140-year history, Toshiba admitted this week to overstating its operating profit by $1.22 billion during the past several years. This staggering figure and...more

The Kitchen Debate Presages the FCPA Compliance and Ethics Report

On this day in 1959, occurred one of the more iconic events of the Cold War, that being the Kitchen Debate between US Vice President Richard Nixon and Soviet leader Nikita Khrushchev. It was called ‘The Kitchen Debate’...more

The Purpose of Compliance: Promoting a Positive, Not Preventing a Negative

One thing about maintaining a blog – you have nightmares (alright something a little less than that) about consistency in writing. All of us can be accused of having “evolving” positions, so maybe that is my rationalization....more

Hemingway and Trust and Respect for Compliance Leadership

On this day in 1899, Ernest Hemingway was born. To me, he was the greatest Man of Letters the US has produced. Probably like most of you all, I was introduced to Hemingway in high school through The Son Also Rises. It remains...more

Leveraging a Global Compliance Network

Multinational companies cannot employ and maintain a sufficient number of dedicated compliance staff to ensure the effectiveness of an ethics and compliance program. That is a reality and we all know that is true....more

Strong Athletic Compliance Programs: A Win-Win for Athletic Departments and Universities

Universities can minimize risk by developing a compliance program with a few essential attributes. Collegiate athletic departments are increasingly under fire for compliance-related concerns, including allegations of...more

Corporate antitrust compliance systems – changes initiated by FAS Russia

On July 8, 2015, the Presidium of the Federal Antimonopoly Service of Russia (FAS Russia) provisionally approved the idea of changes to the RF Law on Protection of Competition that would introduce the concept of a “system of...more

Compliance Stats Mashup: These Recent Statistics Show That Compliance Programs Still Have a Lot of Room for Improvement

With so many studies and surveys giving us a picture of the compliance and ethics landscape it can be hard to find time to read them all (trust me). I’ve spent some time recently digging through some of this research and...more

4 Signs of a Weak Culture of Compliance and Ethics

We all know the importance of promoting a culture of compliance and ethics. The benefits of an ethical culture are substantial and worth every penny of investment in creating and promoting such a culture. We do not need to...more

How Companies Could Avoid “Paper” Compliance in New Ukraine? Try Acting Rather Than Talking

Ed. Note-today we have a guest post from two noted compliance practitioners from Ukraine, Timur Khasanov-Batirov and Andriy Selepey who discuss the dangers of a paper compliance program. Corruption is the main problem...more

Canada’s Integrity Framework Gets a Makeover: What Public Contractors Need to Know

On July 3, 2015 Public Works and Government Services Canada (PWGSC) released its anticipated revisions to the Integrity Regime, which seeks to ensure it does business with ethical suppliers of goods and services in Canada and...more

The Third Man and the Authority of Chief Compliance Officers

Harry Lime is back, although he really never left us. As reported by Kristin M. Jones in a Wall Street Journal (WSJ) article, entitled “Harry Lime Reborn”, the glorious British film noir The Third Man, written by Gra ham...more

June Whistleblower Digest | Does Your Ethics Training Adequately Cover Anti-Retaliation?

Pop quiz: what are the three criteria the SEC stated they would hold a chief compliance officer accountable for? Well, I admit that was a trick question, because even if you got them right, the SEC is ruffling feathers by...more

Your Questions: The Role of the CCO - A Q&A Session About the Evolving Role of the Chief Compliance Officer

Last year we gathered Robert Chersi, Executive Director, Center for Global Governance, Reporting and Regulation at Pace University; Seth Rice, Assistant General Counsel – Compliance & Director of Global Ethics and Compliance...more

[Webinar] Find Out How Your Approach to Compliance Training Compares To Hundreds of Your Peers - July 22, 10:00am PT/ 1:00pm ET

Join us for this free webinar as we reveal the results of our 2015 Ethics & Compliance Training Benchmark Report. Find out how your program compares to the 600+ training professionals who weighed in this year. You’ll find...more

The All-Star Game and Tone at the Top

Quite simply, any compliance program starts at the top and flows down throughout the company. Before you arrive at tone in the middle and bottom, it must start with a commitment at the top. All regulatory schemes for...more

Tone At The Middle: Tone At The Top Is Important, But Tone At The Middle Is Also An Influential Driving Factor

We all know that “tone at the top” is a critical component of a successful compliance program — it’s mentioned as a hallmark in the Resource Guide to the U.S. Foreign Corrupt Practices Act and you see it in headlines, white...more

Bristol Palin, Abstinence and the Compliance Defense

Today Bristol Palin informs the debate on the efficacy of a compliance defense to the Foreign Corrupt Practices Act (FCPA). A noted expert on many areas around ethical behavior and family values, Ms. Palin was credited by...more

Our Picks for the Top 10 Ethics and Compliance Articles You Don’t Want to Miss This Month

With so many articles available every month, it’s possible that a few got buried in either your inbox or the bowels of the blogosphere. Here are ten articles you don’t want to miss...more

Ethics in Business: How to Avoid the “Road to Ethical Damnation.”

Of the many periodicals I read and review, I always look forward to Business Compliance, and specifically to the Round Table discussions, where I have had the pleasure and honor of being a prior contributor. This quarter...more

Best Practices for Auditing & Monitoring Your Ethics & Compliance Program

To be defensible, it’s not enough to implement a strong ethics and compliance program. Regulators expect that companies are continually auditing and monitoring their programs and internal controls. Many companies with...more

[Webinar] Leveraging Social Media for a Best Practice Compliance Program - July 14, 1:00 pm EST

Join this webinar, featuring compliance expert Tom Fox, to learn how embracing social media in a smart way can help companies engage employees and enforce any best practice compliance program. You will learn: - Why...more

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