Corporate Culture

News & Analysis as of

Five Ways to Foster a “Speak-Up” Culture within Your Company

An effective compliance program is essential for all companies. However, the success of any compliance program hinges largely on employee participation and the support and promotion of compliance by management. One important...more

Campaigning for Self-Reporting and Calculation of Incentives (Part I of II)

Just to add to the cacophony of voices campaigning during this primary season, DOJ, SEC, FINRA, and CFTC officials launched their own campaign promoting recent initiatives to increase corporate self-reporting of potential...more

In the Global Trenches Germany: Global Trade & Business Culture

President Obama started the week visiting Europe’s largest industrial trade fair, Hannover Messe, and promoting global trade. It should come as no surprise that Germany -- a global export champion -- is the host of the...more

Bank Culture in the Trenches

Institutional or corporate culture is much in the news lately, both inside and outside of banking. Amidst the uproar over Volkswagen's intentional compliance failure relating to emission standards, senior company management...more

Is Everyone Replaceable, even Justice Scalia? Why You Should Hire Slow and Fire Fast

The unexpected death of Antonin Scalia, Associate Justice of the Supreme Court, has thrown the political landscape—already rife with presidential candidate turmoil—into a tailspin. Justice Scalia meant many things to many...more

Concerns on the New UK Whistleblower Rules

The U.K.’s Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) recently began rolling out new whistleblower rules, with which financial organisations will be required to comply. These rules have not...more

CCOs: Living in the Land of False Promises

We all have heard the scenario involving a compliance professional. A new CCO joins a company with promises from the board, the CEO and senior executives of cooperation, compensation and support for a robust independent...more

FINRA Targets AML Programs and “Culture of Compliance” as 2016 Enforcement Priority, Particularly for High-Risk Broker/Dealers

Under Securities and Exchange Commission (“SEC”) authorization, the Financial Industry Regulatory Authority (“FINRA”) is “responsible for regulating (1) all securities firms that do business with the public[,]” (2) key stock...more

Three Key Findings from our 2016 Hotline Benchmark Report

When organizations use a hotline service to capture employee concerns, they introduce valuable data into their compliance programs. However, without knowing how you fare against your peers, data becomes less valuable and...more

Organizational Cultures of Corruption

The following guest post is by Alison Taylor. My new issue brief, published by the Columbia Law School Center for the Advancement of Public Integrity, is based on extensive academic research, a review of primary data...more

Ketchum Clarifies How FINRA Will Assess a Firm’s Culture of Compliance

In an April 15, 2016 speech to the Brookings Institution, FINRA CEO Richard G. Ketchum addressed the fundamental question of whether the equity markets are sufficiently fair, flexible, and efficient to encourage the...more

Finding “Compliance” Religion

One of the more cynical “commitments” to compliance occurs when a company embraces compliance for the first time in response to a government investigation.  I call this  — finding “compliance” religion. When a company is...more

The Demise of Valeant Pharmaceuticals: A Case Study in Rotten Culture and Business Ethics

Showing my age again, Woody Allen’s Take the Money and Run included a hilarious scene when Woody’s parents wearing Groucho Marx glasses talk about their criminal son (Woody/Virgil Starkwell), his dad exclaimed “He’s rotten,...more

Your Company’s Compliance Program is Finished – April Fool's

Happy April Fool’s Day! Could you ever imagine coming to work one day and realizing that you have “finished” your ethics and compliance program? There is nothing left to do. You can go home. Ohhhh, if only it was so....more

The Myth of the Rogue Employee

Humans by nature seek to avoid uncomfortable feelings, events and situations. When a company suffers misconduct, the same principle holds true. Corporate actors, defense lawyers and board members will always minimize the bad...more

A New “Wildy Effective” Book on Compliance from Kristy Grant-Hart

As the compliance profession grows, so to the need for valuable writing and scholarship, particularly from authors whothemselves have specific compliance experience and offer practical solutions. Kristy Grant-Hart recently...more

Report says social media one of biggest security threats to companies

A new report released by Osterman Research, sponsored by Actiance, GWAVA and Smarsh, tells us that social media is one of the biggest security threats for companies. Malware is increasingly making its way into companies via...more

The Telltale Sign of Corporate Culture: Treatment of Whistleblowers

There are many important predictors of corporate culture. Everyone laments the difficult in measuring a company’s culture. There are a few issues, however, that may be inconvertible as a predictor of a corporate culture....more

Practical Management of Your Company’s Culture

I attended the SCCE’s recent Utilities and Energy Compliance conference in Houston. It is always a great meeting with terrific speakers and content. I was fortunate to attend a session, Taking the Pulse of Corporate...more

Creating an Ethical Culture and “Outside” Influences

Forgive me for taking a step back to address an important challenge in creating a culture of compliance. I know this may sound obvious but in today’s “toxic” political environment it is important to point out some factors...more

Book Review: ‘Creating a Cross-Serving CultureShift: Mastering Cross-Selling for Lawyers and Leaders,’ by David Freeman

No one will disagree that it is often easier to get work from existing clients than from prospective clients, yet huge obstacles to cross-selling still existing in law firms. In his book, Creating a Cross-Serving...more

Interview: Erica Salmon Byrne EVP Governance & Compliance

Word of the Year: Culture - Erica Salmon Byrne shares insights into benchmarking best practices, the recent push for compliance from government to start-ups, and how it all impacts culture....more

Dreamboat Annie and Fostering a Culture of Compliance

Today I want to celebrate one of most impressive jumps from indie band status from the 1970s as we honor the 40th anniversary of the Heart album Dreamboat Annie, which was released in February, 1976. Heart is still comprised...more

Culture > Trend - Since 2008, culture has been the poster child for the compliance industry as the fixer of all problems, and it...

Culture is more than an emphasis, it’s the new must. Companies caught in the heads lights of a semi-truck called scandal are more or less forced to look culture in the eye and promise a new route; a more permanent road....more

Culture Applied: Practical Realities: Local Culture and Global Staffing

Far from being resolved, the issues of discrimination, based on race, ethnicity, gender, and lifestyle are once again dominating our political, social, and corporate conversations. ...more

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