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

Anti-Corruption Digest - April 2014

Welcome to Dorsey & Whitney’s monthly Anti-Corruption Digest. Anti-corruption enforcement crosses boundaries like no other, so keeping up to date is more important than ever. In this digest, we draw together news of...more

Efficient, Nimble, Defensible: More Benefits of Using Short Form Compliance Training

In our first post on burst learning, we covered five key benefits of using burst learning, an approach to ethics and compliance training that utilizes engaging five-to seven-minute products to accomplish any number of an...more

New Law Allows Mining Operators to Remedy Compliance Issues and Retain AB 3098 List Status

Mining companies are subject to myriad requirements under the Surface Mining and Reclamation Act (SMARA) and implementing regulations that can trip up even the most diligent of operators from time to time. When a potential...more

Post Traumatic Settlement Disorder

The rigor and stress of an extensive corporate internal investigation is over. You’ve helped your client determine the scope of wrong-doing, take actions against wrong-doers, calculate the damages/amount of the fraud, fix...more

Mitigating Bribery Risks With Financial Controls

Anti-corruption compliance is not as hard as it looks. In fact, by taking a step back, compliance professionals can gain insights. At the direction of compliance professionals, companies like to develop and adopt...more

OSHA Update: Aggressive OSHA Enforcement and "OSHA Jail"

OSHA has proposed its budget for fiscal year 2015 and there are already many contentious positions being taken regarding what had been hailed as overly aggressive enforcement positions by OSHA. Examples of overzealous...more

When Is An Internal Investigation Not Privileged?

Compliance programs have grown in importance along with the demands of new laws and regulations. These programs are increasingly seen as vital to preventing corporate misconduct or, at least, mitigating sanctions if...more

Top Ten Steps to Fast Tracking Your Bank’s Political Activity Compliance Plan

In today’s political climate, smart banks take a proactive approach to educating officers, employees and board members about political activity compliance. Just as a bank’s code of conduct addresses sexual harassment, privacy...more

Tales From The Crypt - Rule No. 7 - Actions Speak Louder Than Words

Ed. Note-I inadvertently ran Tale From The Crypt, Rule No. 8 out of order, so today we present Rule No. 7, which reminds us that Mom was right, actions do speak louder than words... This Tale from our Crypt reminds us...more

Top Six Frequently Asked Questions About the AODA for Franchisors and Franchisees

In Ontario, the Accessibility Directorate of Ontario has been increasingly active in pursuing enforcement actions against organizations that have not complied with their requirements under the Accessibility for Ontarians with...more

Survey Finds Money Laundering Becoming a Top Priority for Management

Financial institutions are making significant adjustments in their approach to anti-money laundering (AML) compliance issues in the face of escalating global regulatory enforcement. According to KPMG’s 2014 AML Survey, 88% of...more

Compliance Matters: We interrupt our regularly scheduled programming…

While we strive to bring you the latest regulatory matters that we believe you will find important for compliance purposes, we would like to take a moment to bring you information that may be just as valuable....more

At-Will Employment Clauses and the NLRB

The National Labor Relations Board (“NLRB”) has made headlines in the last few years with its close scrutiny of workplace social media policies. However, making something of a quieter splash, the NLRB has also been...more

Are you complying with your reporting and notification obligations for unclaimed wages?

As employers, you have so many reporting requirements I know the last thing you want to hear is that there’s another one you may need to factor in. But, as lawyers it’s our job to sometimes be the bearer of bad...more

Upcoming Ontario Ministry Of Labour Blitzes

Ontario’s Ministry of Labour has announced several upcoming blitzes during which it will ensure that employers in specified industries are compliant with particular areas of concern under the Employment Standards Act, 2000...more

Implementing Compliance Incentives In Your Company

Several readers have asked why I have not written anything about the Houston Astros this year. The answer is two-fold. The first is that I really do not care. However, the more I thought about it, the real reason is that they...more

FINRA Requests Comment on Rules Regarding Communications with the Public and Gifts, Gratuities and Non-Cash Compensation

The Financial Industry Regulatory Authority (FINRA) has issued Regulatory Notice 14-14 and Regulatory Notice 14-15 announcing that it will initiate a review of certain of its rules to ensure that its rules remain relevant and...more

Employers Must Be Prepared for I-9 and E-Verify Inspections - Immigration and Customs Enforcement (ICE) Inspection of Forms I-9...

Has ICE Been Busy in 2013? What to Expect if You Get a Notice of Inspection - On November 6, 1986, the Immigration Reform and Control Act required employers to verify the identity and employment eligibility of their...more

Mind the Gap: Obama Takes New Executive Action on Pay Equity in the Workplace

Last week President Obama continued his administration’s push to tackle pay equity issues by taking executive action to put federal contractors’ compensation practices under greater scrutiny. On April 8, 2014, the President...more

The Louisiana Purchase And Compliance Focus Group – Changing The Game

In 1803, the fate of the United States changed in ways that could have never been contemplated, when the French Minister Talleyrand offered to sell France’s entire Louisiana Territory in North America to stunned American...more

Why Printing Policies and Procedures From Your Compliance Policy Certification System is A Very Bad Idea

Talking to our clients is one of the things I like most about my position in Product Marketing at The Network. It’s important that we take our clients’ needs into account when planning future enhancements of our software...more

Implications of U.S. Sanctions Program on Intellectual Property Owners

To advance U.S. foreign policy and national security objectives, the U.S. maintains laws and regulations that impose economic sanctions against certain countries, individuals, and entities (the "U.S. Sanctions Program"). 31...more

Free HIPAA Help

Health care providers, health plans, business associates, and other entities affected by the federal HIPAA privacy and security regulations are quickly running out of excuses for not having a robust HIPAA compliance program...more

Federal Contracts: President Obama’s Executive Action Regarding Equal Pay

On Tuesday, April 8, 2014, President Obama took two executive actions, designed (in the White House’s words) “to help combat pay discrimination and strengthen enforcement of equal pay laws.” The “Fact Sheet” on the White...more

Ethics and Compliance WIND - April 2014

Ethics and Compliance WIND is your Weekly Industry News Digest for all things compliance. We bring you the latest industry news, so you spend more time staying up-to-date and less time searching....more

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