Compliance

Compliance programs typically refer to formalized institutional procedures within corporations and organizations to detect, prevent and respond to indvidual and widespread instances of regulatory... more +
Compliance programs typically refer to formalized institutional procedures within corporations and organizations to detect, prevent and respond to indvidual and widespread instances of regulatory violations.  In response to many corporate scandals evidencing rampant unethical business practices, many nations, including the United States, began passing strict regulatory frameworks aimed at curbing these abuses. Notable pieces of legislation in this area include the U.S. Foreign Corrupt Practices Act (FCPA), Sarbanes-Oxley (SOX), and the U.K. Bribery Act, to name a few. The foregoing statutes and the severe penalties often associated with them form the basis of many modern institutional compliance programs. less -
News & Analysis as of

Deadline For Compliance With New California Industrial General Permit For Stormwater Is A Week Away (July 1, 2015)

On July 1, 2015, the new California Industrial General Permit for Stormwater (General Permit) will take effect and along with it come a host of new compliance obligations. Chief among those obligations is the completion and...more

Healthcare Law Update

Governing boards of health care organizations can greatly benefit from reading a recently released educational document that presents practical tips for board members responsible for overseeing their organizations’ compliance...more

First look at the Department of Labor's proposed overtime regulation

After President Obama announced in an op-ed on Monday that it was coming soon, the US Department of Labor's Wage & Hour Division published its long-awaited proposed overtime regulation. This proposed regulation addresses the...more

DOL Proposes to Raise Minimum Salary for White Collar Exemptions

The Department of Labor announced a proposed rule that would raise the minimum salary for the white collar exemptions under the Fair Labor Standards Act (FLSA) from its current level of $455 per week ($23,660 annually) to...more

Cultural and Bottom Line Impact of Rudeness in the Workplace Is Real—and on the Rise

In her recent opinion piece in The New York Times, No Time to Be Nice at Work, Christine Porath asserted that, “how we treat one another at work matters. Insensitive interactions have a way of whittling away at people’s...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

DOL Raises Pay for Some Exempt Status Employees - Employers Will Need to Pay Overtime Wages to More White Collar Employees

On June 30, 2015, the U.S. Department of Labor (DOL) released a proposed rule updating overtime regulations for executive, administrative and professional employees (commonly referred to as white collar employees). The DOL...more

Proposed DOL Rule Seeks to Require the Provision of Overtime Pay to Millions of Additional Employees

The Department of Labor (DOL) has announced a proposed rule that would amend the executive, administrative and professional exemptions under the Fair Labor Standards Act (FLSA). The exemptions exclude workers in such...more

The Much-Anticipated Proposed Overtime Regulations Would Extend Overtime Protection to Nearly 5 Million Workers in 2016

The U.S. Department of Labor (“DOL”) announced a much-anticipated proposed rule that, among other things, more than doubles the salary threshold required for an employee to qualify as exempt from overtime pay under Fair Labor...more

Channeling John Steed in Your Tone in the Middle

Today we honor a great English actor from one of the 1960s signature television series. Last week, Patrick Macnee died. He was one-half of the crime-fighting duo on The Avengers. As reported in his New York Times (NYT)...more

Department of Labor Proposes New Rule for Overtime Protections

On June 30, 2015 the U.S. Department of Labor announced a proposed rule to update the regulations governing which "white collar workers" are exempt from the Fair Labor Standard Act's minimum wage and overtime pay...more

FCPA Compliance and Ethics Report-Episode 174-Matt Kelly on Dodd-Frank, Uber and Upcoming Compliance Week events [Video]

In this episode I visit with Compliance Week Editor Matt Kelly on how Dodd-Frank is working and affecting financial services, Uber and the recent ruling from the California Labor Board finding one Uber driver an employee and...more

Deadline Extension For California’s Industrial Storm Water Permit

The new California Industrial General Storm Water Permit (IGP) is scheduled to take effect on July 1, 2015. That date was also the deadline for facilities already operating under the previous 1997 IGP to submit any updates to...more

Corporate Investigations & White Collar Defense - June 2015

The Unfolding FIFA Scandal: Will the DOJ Show the Banks a Red Card? - Why it matters: The worldwide soccer community has for years decried the brazen corruption that permeated FIFA, international soccer’s governing...more

Anti Bribery Compliance Tactics Learned Behind Bars | 6 Ways to Protect Your Front-Line Employees from Temptation (Part 1)

If you encountered Richard Bistrong at a cocktail party, your first instinct would likely be to comment on his fashionable glasses or his experience running marathons, rather than to ask about his time in prison. As Richard...more

Inside Information: Understanding Consumer Complaint Topics as a Key Defense Against UDAAP

In 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) introduced the current version of unfair, deceptive, or abusive acts and practices (UDAAP), making it unlawful for any service provider...more

West Virginia’s Bank of Mingo Pays $4.5 Million for BSA/AML Compliance Program Deficiencies, Showing that Small and Midsize...

A series of recent federal enforcement actions targeting weaknesses in financial institutions’ Bank Secrecy Act/anti–money laundering (BSA/AML) compliance programs continued on June 15, when the Department of Justice (DOJ),...more

Compliance Trends and the Future of Compliance

As the compliance profession continues to develop and increase its influence in the corporate governance landscape, there are no hard and fast rules. We all quickly repeat the compliance profession mantra: there are “no...more

Another Great Bassist Gone and Tone at the Bottom

As most rock aficionados know, rock music is basically a dialogue between the bass guitar and the drums. With this base line set, the lead guitars and keyboards can go soaring off. That was certainly the formula for Yes. But...more

What the Government Expects to Find in an Anti-Corruption Compliance Program

Similar to Foreign Corrupt Practices Act enforcement generally, the federal government has expanded what it expects to find in an anti-corruption compliance program. U.S.-connected companies operating internationally...more

Bridging the Week - June 2015 #5

UK Regulators Implement Tougher Pay Rules for Banking Institutions’ Senior Managers: The United Kingdom Prudential Regulation Authority and Financial Conduct Authority have adopted new rules regarding the remuneration of...more

Happy Public Float Day!

If you are a year-end company, today is the end of your second fiscal quarter, which means that it’s just about time to calculate your public float to see if your reporting status has changed. Here are a few things to...more

SEC Division of Corporation Finance Issues New C&DIs Relating to New “Regulation A+”

On June 23, the Securities and Exchange Commission’s Division of Corporation Finance issued new Compliance and Disclosure Interpretations (C&DIs) relating to the recently expanded Regulation A, commonly referred to as...more

FCPA Compliance and Ethics Report-Episode 173-Adam Turteltaub on upcoming SCCE events [Video]

In this episode, I visit with Adam Turteltaub from the SCCE. He discusses some upcoming SCCE academies and other events, including the 2015 Compliance and Ethics Institute, which will be held from Oct. 4-7 in Las Vegas. Adam...more

Supervisory Haiku-lights, Summer 2015

Break out the short shorts everybody: it’s summer! We know you could use a palate cleanser between the 50 Shades novels and Game of Thrones wikis you’re reading on the beach. Supervisory Haiku-lights to the rescue! The Summer...more

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