Code of Conduct

News & Analysis as of

Work Rules Hanging in the Balance? NLRB Dissenter Proposes Balancing Test Blueprint for Work Rule Challenges, a Significant...

Earlier this month, the NLRB struck down a couple of facially-neutral workplace civility rules in an employer’s Code of Conduct. Ho hum, business as usual. What is fascinating, however, about this otherwise unremarkable...more

Compliance Training and Cat Videos

The following interview is with Ricardo Pellafone, Creative Director & Founder, The Broadcat, www.thebroadcat.com RTB: Tell us a little about your background and current work. RP: I’m an...more

Top Ten Ethics & Compliance Predictions & Recommendations for 2016

To help with our predictions and recommendations, we’ve talked with industry experts, our colleagues at NAVEX Global, and ethics and compliance professionals from our more than 12,500 client organizations. Based on their...more

EU Commission launches consultation on Transparency Register - Stakeholders invited to present views on a future mandatory system...

The European Union is contemplating mandatory registration of lobbyists and increased regulation of their activities through the introduction of a mandatory register in Brussels. The changes currently contemplated will have a...more

Compliance and Mastering Strategy

One thing that is often difficult for Chief Compliance Officers (CCOs) is to look at compliance strategy rather than the tactical aspects of compliance. This is because it is usually the day-to-day aspects of doing compliance...more

UK Financial Regulatory Developments - February 2016 #1

FMLC issues addendum to legal uncertainty for CCPs paper - FMLC and the US-based Committee on Capital Markets Regulation (CCMR) have issued an addendum to their comment paper on issues of legal uncertainty relating to...more

Dazed and Confused: A Look at Medical Marijuana and Ontario Schools

As the Canadian medical marijuana industry continues to expand and evolve at a rapid pace, unintended gaps have begun to appear across a wide spectrum of legislation. One such gap currently exists in the Ontario school system...more

Focusing on Internal Investigations

A speak up culture is an important component of a company’s commitment to organizational justice. All of the pieces of an internal justice system have to fit together and are interdependent. When one part does not work, the...more

2016 Trends #4: Politics Invade the Workplace

In the U.S., the 2016 election now dominates the news, social media and many employee conversations. And for global companies, it’s always election season somewhere. So now is a good time for ethics and compliance officers to...more

St. Mark’s Basilica and Updating Your Code of Conduct

The Venice Travel Edition continues today by focusing on Saint Mark’s Basilica, one of both Venice’s and the world’s treasures. It sits on Saint Mark’s Square, one of the most famous locations in all of Italy. While today it...more

ESMA updates on proxy Code of Conduct

ESMA has published an update report on the proxy advisory industry’s progress in establishing and following a self-regulatory code of conduct. It says there has been progress, but there is room for improvement....more

SFC Published the Consultation Conclusions on the Client Agreement Requirements

On 8 December 2015, the Securities and Futures Commission of Hong Kong (the “SFC”) released the “Consultation Conclusions on the Client Agreement Requirements” (“Consultation Conclusions”), in which the SFC has resolved to...more

Defining Compliance 2.0: Key Compliance Partners (Part 5 of 5)

I always use the “Streetcar Named Desire” line to describe the challenges a  Chief Compliance Officer faces – CCOs depend on the kindness of strangers.  It is a little bit of an exaggeration but bear with me. CCOs are not...more

Defining Compliance 2.0 — The CEO (Part 2 of 5)

Do the right thing. It will gratify some people and astonish the rest. – Mark Twain We all know the obvious – a CEO’s commitment to ethics and compliance is critical to the success of a compliance program. A CEo who...more

Invest Europe publishes new handbook

Invest Europe has published its 2015 Handbook of professional standards and conduct of business for the private equity industry....more

Lobbying: Important amendments to the Lobbyists’ Code of Conduct

On December 1, 2015, a number of amendments to the Lobbyists’ Code of Conduct (the Code) will come into force. The amendments have the potential to alter the ability of certain persons in the private sector to communicate...more

Payments UK consults on new code

Payments UK is seeking views on its Code of Conduct for Indirect Access Providers. It wants to know how well the Code is working, and how it could be improved....more

Seven Essential Resources for Strengthening Your Code of Conduct

A powerful, relevant and engaging code of conduct can create a positive ripple effect across your organization. The opposite is also true: a code of conduct that is hard to find, difficult to read and disconnected with your...more

New UK Regime to Strengthen Senior Management Accountability

On 7 March 2016, two new regulatory regimes governing the accountability of senior managers will take effect—the Senior Managers and Certification Regime will cover the banking sector, and the Senior Insurance Managers Regime...more

Compliance Counsel Metrics – Part II: Policies, Procedures and Their Communication

Today, we continue our exploration of the new Department of Justice (DOJ) Compliance Counsel and the metrics laid out by Assistant Attorney General Leslie R Caldwell who called for her review of compliance programs. Today we...more

Improving the Gender Balance on British Boards

Lord Davies of Abersoch published on 29 October 2015, a five year review of his 2011 report aimed at improving the gender balance at the top of British business. There has been a significant improvement in the...more

When public perception and the law differ: man fired for heckling TV reporter at soccer game is rehired after arbitration process

Just because members of the public call for the firing of an employee for yelling sexual taunts at a TV reporter at a sports match, does not mean that the firing is legally justified, a recent case illustrates....more

Preview of NAVEX Global’s 2015 Ethics and Compliance Virtual Conference

As 2015 draws to a close (where did the time go?), the 2016 planning season is in full swing. You likely already have an idea of initiatives you’ll want to tackle, but taking your ethics and compliance program to the next...more

[Event] 2015 Ethics & Compliance Virtual Conference - Nov. 17th, Virtual

Don't miss the largest ethics & compliance industry event of the year! Brand New Topics & Sessions! * Hear nine engaging sessions—including our Keynote by Governor Thomas J. Ridge—and gain practical takeaways to...more

CJEU Sends Clear Warning to “Cartel Facilitators”

On 22 October 2015, the Court of Justice of the EU (“CJEU”) handed down a seminal judgment holding for the first time that companies facilitating the implementation of a cartel can be sanctioned under EU competition law....more

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