News & Analysis as of

Code of Conduct

Oh, Hadn’t You Heard? You’re Violating French Law Right Now! France Gets Serieuse about Anti-Corruption

Ok, ok, don’t panic. Maybe not all of the millions of dedicated readers of this blog are in violation. Nevertheless, as of June 1, if your company does business in France, it may be time to check your anticorruption...more

Complainants Mostly Strike Out at Commission on Judicial Conduct

by PretiFlaherty on

Except for one judge who made a racially insensitive comment to a colleague and was forced to resign (see previous post), Massachusetts judges, in the judgment of their watchdogs, pretty much behaved themselves in...more

5 Telltale Signs of a Weak Corporate Culture

by Michael Volkov on

We all know it when we see it – a company with a weak corporate culture of ethics and compliance. Many companies claim they have an ethical culture but few really do. With increasing emphasis and understanding of the...more

Hot List – What’s Happening in the California Legislature 6/19-6/23

by Fisher Phillips on

Our weekly California Legislature “hot list” provides you with a preview of the bills that are up (as well as other important legislative action) the following week...more

4th Circuit sets a match to battalion chief's First Amendment claims

by McNair Law Firm, P.A. on

Lately, we’ve been seeing more cases in which public-sector employees accuse their governmental employer of violating the First Amendment to the U.S. Constitution. Such claims can arise in many ways, but with the...more

Hot List – What’s Happening in the California Legislature 6/12-6/16

by Fisher Phillips on

Our weekly California Legislature “hot list” provides you with a preview of the bills that are up (as well as other important legislative action) the following week....more

Corporate and Financial Weekly Digest - Volume XII, Issue 20

New FX Code of Conduct - The Foreign Exchange Working Group (FXWG), operating under the auspices of the Bank for International Settlements, has published a final version of its “FX Global Code” (the “Code”), a code of...more

Promoting an Ethical Culture — Actions Not Just Words

by Michael Volkov on

With an increasing focus on the value of an ethical culture, I have been reading more about chief ethics officers, the separation of ethics and compliance, and the traveling ethics officer who meets with employees to discuss...more

Spouse Swapping Not Cool for Police Officers, Says the Fifth Circuit

Just how much can you regulate a public employee’s off-duty conduct? In an interesting and rather frank opinion, the Fifth Circuit found a sheriff’s department could regulate deputies’ private conduct pretty broadly. In...more

Operationalizing Compliance Through Your Tone in the Middle

by Thomas Fox on

One of the ways that Human Resources (HR) can help to operationalize compliance is to assist each level of an organization to have a proper tone. While the top of an organization rightly gets much of attention, the tone about...more

Franchise Compliance: Franchising infringement notices and pizza

by Dentons on

A recent decision by the ACCC to issue infringement notices to a franchisor demonstrates the need for franchisors to comply with the ongoing disclosure requirements to franchisees under the Franchising Code of Conduct....more

Day 17 of One Month to Better Compliance Through HR-Using HR to Create an Ethical Culture

by Thomas Fox on

The Evaluation of Corporate Compliance Programs document makes clear that operationalization of compliance into an organization should be done at multiple levels in a company. Creating an ethical culture is an important step...more

Day 15 of One Month to Better Compliance Through HR-Employment Separation Issues

by Thomas Fox on

Employment separation and layoffs can present some unique challenges for the compliance practitioner. Employees can use layoffs to claim that they were retaliated against for a wide variety of complaints, including those for...more

Financial Conduct Authority Publishes Policy Statement on Application of its Conduct Rules to Non-Executive Directors

by Shearman & Sterling LLP on

The Financial Conduct Authority has published a Policy Statement on applying conduct rules in the Code of Conduct sourcebook to non-executive directors in the banking and insurance sectors. In-scope NEDs are those who do not...more

Hot List – What’s Happening in the California Legislature 5/15-5/19

by Fisher Phillips on

Our weekly California Legislature “hot list” provides you with a preview of the bills that are up (as well as other important legislative action) the following week....more

The “Rock-Star Exception” Is More Expensive Than You Think

by NAVEX Global on

One of the hallmarks of a healthy organizational culture is that it makes no exceptions or excuses for inappropriate behavior. It is simply not possible to maintain workplace integrity if certain individuals are excused for...more

Day 11 of One Month to Better Compliance Through HR-the Fair Process Doctrine

by Thomas Fox on

Procedural fairness is one of the things that will bring credibility to your Compliance Program. Today it is called the Fair Process Doctrine and this Doctrine generally recognizes that there are fair procedures, not...more

Workplace Performance Concerns Lead to Privacy Violation

by Dentons on

A recent Order of the Office of the Information and Privacy Commission of Alberta (OIPC) provides guidance on potential privacy traps when managing performance issues in the workplace....more

When Office Romance Goes Pear-Shaped

by K&L Gates LLP on

The old adage that you shouldn't fish off the company wharf has been proven to be true for at least two high profile executives of late. While this is not a new or novel issue, it does beg the question of what role should a...more

Knowing Your Employees and Incident Management Systems

by Michael Volkov on

Chief compliance officers know the importance of trust, not just as a foundation of a global company’s compliance program, but in the context of knowing what company employees are doing out in the field. CCOs will always say...more

Can subscribing to voluntary codes of conduct change a lender's duty of care to its customers?

by Dentons on

The recent case of Thomas & Anor v. Triodos Bank NV [2017] EWHC 314 suggests that in certain circumstances banks that have subscribed to voluntary codes of conduct (and advertised that fact to their customers) might be fixed...more

Talking About Bribery in the Country Where I Bribed

I recently returned from a week in Amsterdam, addressing front-line compliance challenges, and attending several anti-corruption conferences. It was a surreal experience for me, for in 2003 I paid a “Dutch Agent approximately...more

How Policies Can Defeat a Breach of Contract Claim

Here is an interesting scenario for employers to consider. A company discovers that an employee working in information technology has taken de-commissioned company computers for himself and even given some away. After...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Wells Fargo’s board not only issued a massive report on its fake account scandal yesterday. It also announced that the bank would claw back an additional $75 million from former CEO John Stumpf and former head of community...more

Hotel California and Wells Fargo-You Can Check Out, But Can You Leave?

by Thomas Fox on

Today, we celebrate The Eagles most famous song, Hotel California. It all started with a Don Felder cord progression and according to the Financial Times (FT) column The Life of a Song, it had a “fusion of Hispanic melody and...more

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