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

Corporate Investigations & White Collar Defense - May 2015

It’s an Absolute Privilege to Meet You! Texas Supreme Court Rules That Internal Investigation Report Provided by Shell Oil to DOJ Enjoys “Absolute Privilege” - Why it matters: On May 15, 2015, the Texas Supreme Court...more

Robert Appleton: It’s FCPA Compliance or Vegas

Today is the first of a two part interview with Robert “Bob” Appleton and is an edited version of the entire interview which will be available for download when part II is published next week....more

Senn on 10 Best Practices in a Cross-Border Investigation – Part I

Today we celebrate a closure for it was on this day in 1935 that probably the best-known baseball player in the history of the game, George Herman ‘Babe’ Ruth, retired. While many of his records were broken with the march of...more

A Compilation of Enforcement and Non-Enforcement Actions

Compliance Issues With Private Equity Fund Managers Remains a Concern With the SEC - In May of last year, the SEC rang the alarm bells after conducting sweep examinations of private equity fund managers. At that time, the SEC...more

The MCDC Initiative: December Was Just The Beginning

As many of our issuer clients know, as a result of perceived wide-spread violations of post issuance reporting compliance, in 2014 the SEC conducted its “Municipal Continuing Disclosure Compliance Initiative” or the “MCDC...more

Ethics & Compliance Innovations: Thinking (Just) Outside the Box

Are you looking for E&C program innovations that offer fresh alternatives to common E&C challenges? In this presentation, NAVEX Global’s Ed Petry shares: - Novel approaches to staffing and positioning the E&C function...more

OSHA Issues Revised Whistleblower Investigations Manual

Continuing its emphasis on its Whistleblower Protection Program, the Occupational Safety and Health Administration (OSHA) released an updated Whistleblower Investigations Manual on May 21, 2015. OSHA enforces whistleblower...more

Tacoma is the Third Washington City to Mandate Paid Leave

Earlier this year, the City Council of Tacoma, Washington approved a Paid Leave Ordinance (“Ordinance”).  Starting February 1, 2016, nearly all private sector employers must provide employees who work in Tacoma specified...more

The FIFA Indictments and Travel Act Prosecutions under the FCPA

While the indictments last week against 14 individuals who were members or associated with Fédération Internationale de Football Association (FIFA) did not include any alleged violations of the Foreign Corrupt Practices Act...more

Insights for Improving Conflict Minerals Compliance

As the annual May 31 deadline falls on a Sunday this year, companies must file their Conflict Minerals disclosures under Section 1502 of the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act with the U.S....more

OIG issues additional guidance to healthcare boards regarding compliance efforts and oversight

The Office of the Inspector General (OIG) of the U.S. Department of Health and Human Services, together with leading legal, audit and compliance collaborators, recently issued the fourth in a series of publications providing...more

Court Warns That Marriage Does Not Render A Spouse Automatically Entitled To Preexisting Life Insurance Policies

In a recent unpublished decision, the New Jersey Appellate Division has again stressed the importance of complying with the beneficiary designation requirements contained in life insurance policies. See Fox v. Lincoln...more

Blog: HIPAA FAQ Series: Are Covered Entities and Business Associates Required to Encrypt PHI?

The Health Insurance Portability and Accountability Act (HIPAA) mandates that both Covered Entities and Business Associates protect the security of Protected Health Information (PHI) in a variety of ways. Specifically,...more

Doing Compliance in an Economic Downturn, Part IV – Testing, Peer Groups and Talent Development

Today we celebrate the conquest of what the Tibetans call “Mother Goddess of the Land” and what the rest of us call Mount Everest. For on this date in 1953, Sir Edmund Hillary of New Zealand and Tenzing Norgay, a Nepalese...more

Global Anti-Corruption Enforcement Trends Hit FIFA

Insights on the anti-corruption trends that contributed to the Fédération Internationale de Football Association (FIFA) scandal, and six essential characteristics of organizations whose cultures help prevent bribery and...more

Uber’s ADA Conundrum

When you think of Uber (or similar companies like Lyft and Sidecar) you probably think of a transportation company. You request a ride on the company’s app and a driver (in his own vehicle) picks you up. The nature of the...more

Diggin’ Your Company’s Culture

Some things are hard to define and measure in compliance. Culture is the prime example often cited by commentators. I do not share that opinion. Whether it is quantified or not, there is one unmistakable truth – you know...more

How Transparent is Your Supply Chain? California AG Issues Guidance

After almost five years since passage, California’s Attorney General has finally produced guidance on The California Transparency in Supply Chains Act of 2010. With the Attorney General at last weighing in (the Resource Guide...more

The Medicaid Fraud Control Units: Fiscal Year 2014 Report

The Department of Health and Human Services (HHS) Office of Inspector General (HHS-OIG) has released its Fiscal Year (FY) 2014 Annual Report (Report) on the performance of the Medicaid Fraud Control Units (MFCUs)...more

Another SEC FCPA Action Tied to Hospitality

Hospitality and effective compliance procedures are often critical issues when dealing with government officials. Those two issues came into sharp focus in the SEC’s latest FCPA case. In the Matter of BHP Billiton Ltd., Adm....more

Measuring the Effectiveness of Compliance Training & Communications

When you’re thinking about how to measure the effectiveness of your compliance training program, you may already have some of the more obvious metrics in place, such as completion rates for compliance training courses or...more

USCIS Guidance Clarifies Employer Obligations to Amend H-1B Visa Petitions, Sets Compliance Deadline

On May 21, 2015, the U.S. Citizenship and Immigration Services (USCIS) issued guidance on an employer's obligation to amend an H-1B visa petition to report a change in the employee's worksite location. This guidance is in...more

Economic Downturn Week, Part III – The Desktop Risk Assessment

I continue my exploration of actions you can take to improve your compliance program during an economic downturn with a review of what my colleague Jan Farley, the Chief Compliance Officer (CCO) at Dresser-Rand, called the...more

Federal Trade Commission Targets Organizations with Expired U.S.-EU Safe Harbor Certifications

Organizations in the United States that certify to the U.S.-EU Safe Harbor Framework to transfer and receive personal data about residents of the European Union must annually reaffirm to the U.S. Department of Commerce that...more

Shining a Light on Payments to Governments: The Current State of “Publish What You Pay” Rulemaking Around the World

Over the last few years, a number of key jurisdictions have adopted regulations requiring companies engaged in natural resource extraction activities to disclose the payments they make to governments and state-owned...more

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