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Corporate Culture

SCCE Preconference Learning – You Are Not Alone in Compliance

by Thomas Fox on

I am writing this today from the Society of Corporate Compliance and Ethics (SCCE) 2017 Compliance and Ethics Institute (CEI). This is the largest annual gathering of compliance professionals anywhere and it is already off to...more

The Mummy’s Hand and a Risk-Based Approach at the Board Level

by Thomas Fox on

Today we consider the 1940’s film, The Mummy’s Hand as the second installment in Universal Pictures series featuring this creature. Boris Karloff departed the role and it was taken over for one film by Tom Tyler, who was...more

Lawyers Can Be A Positive Force for Compliance

by Michael Volkov on

Lawyers get a bad rap, and I am not just referring to all the lawyer jokes we have heard numerous times. Lawyers get a bad rap when it comes to compliance. Much of it is not deserved – but candidly, some of it is deserved....more

Farewell to Y. A. and Leadership Lessons from Martin Van Buren

by Thomas Fox on

I thought about our perception of Tittle in the context of Martin Van Buren, who usually receives short shrift from most historians and indeed Americans for his alleged failed Presidency. However, his life and Presidency do...more

An Exploration of Soft Skills in Remediation for the Chief Compliance Officer

by Thomas Fox on

Many have focused on the more technical aspects of the remediation component of a potential Foreign Corrupt Practices Act compliance violation. I wanted to explore the soft skills that a CCO must use, both internally and...more

Compliance Meaningfulness: Hard to Achieve, Easy to Destroy

by NAVEX Global on

This post originally appeared on the Richard Bistrong, Front-Line Anti-Bribery Blog, www.richardbistrong.com and is reposted with the permission of Richard Bistrong. In an article titled, What Makes Work Meaningful- Or...more

The Mummy, Equifax and Dust in the end

by Thomas Fox on

It is the dust in end that Equifax created from its statements over the past week and actions which led to the massive data breach in the first place. The former head of the company, Richard Smith, testified before Congress...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Yahoo—via new parent Verizon Communications—has officially tripled its estimate of the number of accounts affected by its 2013 cyber hack, putting the total at a staggering 3 billion (aka, all of them)....more

The Delusion of a Bare-Bones Compliance Program

by Michael Volkov on

Instead of wrestling over the definition of an “effective” ethics and compliance program, let’s take a step back and define what we all agree on is an “ineffective” compliance program. Unfortunately, when you work in the real...more

What a CCO Can Learn from Da Vinci

by Thomas Fox on

When Walter Isaacson publishes a book, you would do well to read it. His previous books have included biographies of such disparate luminaries as Steve Jobs, Albert Einstein, Henry Kissinger and Benjamin Franklin. My personal...more

Future of Work III: Performance Management in Today’s Environment

by Seyfarth Shaw LLP on

Seyfarth Synopsis: This post continues our blog series on the Future of Work, and discusses how, in California as elsewhere, performance management strategies continue to develop in response to the changing workplace. ...more

Lessons for Compliance Officers from Hurricane Harvey and Other Historic Weather-Related Events

by Thomas Fox on

Lessons for the corporate compliance professional from Hurricane Harvey and other weather-related disasters....more

The Root Compliance Problem: “Shadow Process”

by NAVEX Global on

Sometimes I revisit my compliance roots in the world of Sarbanes-Oxley – a place much more concerned with financial reporting than corporate ethics and culture, I know. Yet lessons from one group that can help the other still...more

Time to End Gender Apartheid: Growing Up as Girls: Cultural and Structural Barriers

by Atma Global on

We’ve reached a global consensus that racial apartheid is wrong; let’s at least now raise the floor and recognize that gender apartheid is also morally wrong. Despite the progress toward gender equality that we have made in...more

The Five Most Important Issues for a CCO to Report to the Board

by Michael Volkov on

Chief compliance officers have to throw out their template for charts, diagrams and data that they use to report to the Audit/Compliance Committee and start over. Slick and colorful charts and diagrams are great but CCOs are...more

Ethics and Compliance Controls – Different Means to the Same Objective

by Michael Volkov on

People are getting confused. A company’s ethical culture is not a touchy-feely concept that makes everyone warm and cozy all over. At the same time, compliance controls are not hard and fast rules that are mechanically...more

Moving Back In-House to Move Compliance to the Next Generation

The following interview is with Nicole Rose, Head of Risk and Compliance, Uniting Resources NSW and ACT. As you may recall, Nicole and I co-produced the anti-bribery training animation, “Why We Say Yes,”. RB: So, Nicole, I...more

Does Sorry Have to be the Hardest Word in the Workplace?

by Shipman & Goodwin LLP on

When was the last time you said you’re sorry to someone at work. Last week? Last month? Last year? Never? There isn’t a right answer to this but I was thinking about this yesterday on the Jewish New Year....more

The COSO ERM Framework

by Thomas Fox on

The COSO Enterprise Risk Management (ERM) Framework was released last week. It provides an excellent structure for compliance practitioners and businesses to think through the entire lifecycle of risk management....more

Diving In: Your Company Is More Than Your Employee Handbook

by Shipman & Goodwin LLP on

Yesterday, I made a spectacular dive. Unfortunately, it was not in a pool. It was in the middle of the street....more

PMI – An Insider’s Guide – Part 3: What to do When You’re Asked to Assist in a Potential Acquisition – Post-Integration Run Phase...

by Patrick Law Group, LLC on

It’s been months since your company was all over the news with a splashy acquisition and the fanfare has died down a bit. There are rumors, quietly at first, but then persistently louder, that things aren’t going so well...more

Slippery Slopes: “Broken Windows” and Employee Misconduct

by Michael Volkov on

Criminologists have debated for years the efficacy of the law enforcement strategy of “broken windows.” In simple terms, the theory suggests that minor infractions or petty crimes should be vigorously prosecuted in order to...more

Your Company Brand and Ethical Behavior

by Thomas Fox on

Last week, I was interviewed by David Banks, the Senior Content Marketing Manager at NAVEX Global, for the firm’s blog. One of the questions he posed to me struck me and it was “When it comes to contributing to a greater...more

The Emperor Has No [Compliance Program]

by Michael Volkov on

At the outset, I have to apologize for the title but during my morning bike ride I usually come up with blog posting titles. But moving past the trite title, I have a point to make....more

The FMA's Annual Corporate Plan

by DLA Piper on

The Financial Markets Authority (FMA) recently issued its Annual Corporate Plan for 2017-2018 (ACP). This sets out the FMA's priorities and intended activities for the year ahead and is one of their core strategic...more

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