Code of Conduct

News & Analysis as of

Bridging the Week - May 2015

CME Group Summarily Suspends Trading Privileges of Two Traders Without Hearing for Alleged Spoofing and Non-Cooperation - Less than two weeks after civil and criminal charges were filed by the Commodity Futures Trading...more

King Arthur Week – the Pentecostal Oath and Code of Conduct – Part II

The foundational document of any Foreign Corrupt Practices Act (FCPA) compliance program is its Code of Conduct. This requirement has long been memorialized in the US Sentencing Guidelines, which contain seven basic...more

Cultivating a Culture of Compliance eBook

A strong ethical culture is the foundation of a successful compliance program. It is also among the most difficult program elements to define, establish, and maintain over time. Produced by Compliance Week in cooperation...more

Code of Conduct Enforcement

The bulk of company internal investigations are devoted to human resource and code of conduct violations. Of course, there are always potential legal violations but these are far smaller in number but could have disastrous...more

Amendments to Code of Conduct for Credit and Debit Card Industry

Amendments made to the Code of Conduct for the Credit and Debit Card Industry in Canada (Code) released by the Department of Finance on April 13, 2015, will have interesting repercussions across the entire payment industry...more

Coles' $10 Million Pecuniary Penalty Order For Unconscionable Conduct Is A Win For Businesses In Encouraging Good Standards Of...

On 22 December 2014, the Federal Court ordered Coles to pay $10 million in pecuniary penalties for engaging in conduct that constituted unconscionable conduct in contravention of section 22 of the Australian Consumer Law...more

NLRB’s Do’s and Don’ts of Employer Handbooks: Part 2 Conduct Toward Coworkers and Third Parties

On March 18, 2015, the National Labor Relations Board (NLRB) Office of the General Counsel released a 30-page memorandum providing guidance on employer rules and handbooks. The memorandum further solidified the NLRB’s...more

The Importance of Conflicts of Interest Compliance

A company’s character includes avoiding the appearance of, or actual, conflicts of interest. Compliance professionals need to pay more attention to conflicts of interest. In some instances, companies have not even adopted...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

The ACCC's hunt for franchisors starts with AU$500,000 penalty

In a wakeup call for franchisors, the Federal Court earlier this week imposed an AU$500,000 penalty on South East Melbourne Cleaning Pty Ltd (formerly Coverall Cleaning Concepts South Easy Melbourne Pty Ltd) (Coverall) for...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

Business information and data processing: tidbits on the draft Code of Conduct

On March 11, 2015 the Italian Data Protection Authority (Garante per la protezione dei dati personali, the “Italian DPA“) initiated a public consultation on the draft Code of Conduct concerning the processing of personal data...more

Consumer Privacy Bill of Rights

The White House released its much anticipated legislative proposal on the Consumer Privacy Bill of Rights Act (CPBRA) that was first floated in 2012. The CPBRA, if enacted (which seems unlikely before 2016), would provide...more

Proving the Business Value of a Strong Organisational Culture: Four Keys to Serco’s Success

We’re thrilled to have U.K.-based Robert Smith, Director Assurance at Serco Group PLC (Serco), a NAVEX Global client, share his thoughts on how he and his team are helping Serco build and sustain a strong organisational...more

Top Ten Ethics & Compliance Predictions and Recommendations for 2015

Get the inside track on the key ethics and compliance industry trends that will impact your business in 2015—and get the resources you need to help you plan for the year ahead—in our annual Top Ten Predictions and...more

Company Updates Code of Conduct after Ousting CEO for Sexual Harassment

Unethical leadership can be devastating for a company. For a large apparel company, the sexual misconduct of its ex-CEO has it scrambling to repair its image and prove it will no longer tolerate such behavior. The company...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

Legal Ethics and Social Media: What Pre-Litigation Advice May an Attorney Provide to His or Her Client?

When meeting with your client about a matter that will likely result in litigation, what advice can you give your client about privacy settings and removal of information from social media in the pre-litigation setting? The...more

Next-Level Engagement and the Employee Code of Conduct

You already know that employee engagement is critical – not just for better performance on the job, but also for the health of the company’s culture. Engaged, happy employees are more likely to foster a positive, ethical work...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

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

Language Solutions as Preventative Tool in Anti-Corruption Compliance

Ed. Note-I partnered with Merrill-Brink to write a White Paper on the use of local languages as a preventative tool in FCPA, UK Bribery Act and anti-corruption compliance. Today’s blog post is an excerpt from the full article...more

DIFC Market Abuse Regime - DFSA publishes Code of Market Conduct

On 16 December the Dubai Financial Services Authority (‘DFSA’) published its Code of Market Conduct (the ‘Code’) which will apply from 1 January 2015. The Code is intended to provide guidance and clarity to the market abuse...more

Rosenbaum Law Firm Review - January 2015

In This Issue: - Stuff That Prospective 401(k) Plan Providers Tell You That's True - The Conduct Code for Retirement Plan Sponsors - Stuff That Won't Help A Retirement Plan Sponsor Limit Their...more

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