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Corporate Governance Tone At The Top

Thomas Fox - Compliance Evangelist

Tone at the Top Week: Part 5 – CCOs Using Town Halls to Build Compliance

This week we have been exploring how Chief Executive Officers and other senior executives can set an appropriate Tone at the Top by actually walking-the-walk of compliance rather than simply talking-the-talk of compliance....more

Thomas Fox - Compliance Evangelist

Tone at the Top Week: Part 4 – CCOs Using Team Meetings to Further Compliance

We continue our blog post series on how CEOs and top senior executives can demonstrate the ubiquitous Tone at the Top. Setting the tone of doing business ethically and in compliance is one of the most critical...more

Thomas Fox - Compliance Evangelist

Tone at the Top Week: Part 3-Email as a Strategic Compliance Tool

We continue our exploration of how CEOs and senior executives are uniquely positioned to drive home the importance of ethical behavior and adherence to compliance regulations. Today, we consider the humble email and how it...more

Thomas Fox - Compliance Evangelist

Moving Compliance Tone Down Through an Organization

Mike Volkov, in a blog post entitled, Mood in the Middle Versus Tone at the Top, said, “Even when a company does all the right things at the senior management level, the real issue is whether or not that culture has embedded...more

NAVEX

State of R&C Report Key Finding — Mid-Level Management Shows Inconsistent Commitment to Compliance

NAVEX on

Ethics and compliance are two sides of the same coin. Compliance is following the law, while ethics is doing what is right regardless of what the law says. Compliance is typically thought of as something required by the...more

The Volkov Law Group

Making Corporate Culture a Reality: Define and Embed (Part I of III)

The Volkov Law Group on

Everyone has jumped on the corporate culture bandwagon.  For some new converts, they like to espouse corporate culture as a recent discovery, or a new-fangled approach for compliance programs....more

The Volkov Law Group

The CEO Sets, Defines and Manages a Company’s Performance and Culture

The Volkov Law Group on

We always read about the superstar CEO.  The company’s leader who is paid millions and is the rock star of business success.  Board members, shareholders and stakeholders support the leader because he/she has brought...more

Cadwalader, Wickersham & Taft LLP

Diversity in Fund Finance: ‘Boundary Breakers’ Recap

The Diversity in Fund Finance group hosted the second Boundary Breakers speaker series event this week, featuring a discussion with Värde Partners on the endless battle for diversity. This conversation, moderated by Alex...more

Society of Corporate Compliance and Ethics...

Susan Roberts on Creating a Compliance Program Book

Cataloguing everything your compliance program does isn’t easy, but Susan Roberts, who recently retired from full-time corporate life after serving as Chief Compliance Officer at three different companies, did just that. And...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

You need to set the tone

I’ve been involved with so many small organizations both profit and non-profit in one form or another as an employee, officer, or client. The one thing that is consistent with each organization is that the leadership sets the...more

The Volkov Law Group

The Impact of a New CEO

The Volkov Law Group on

Businesses have to evolve in order to respond to the market, consumer demands, societal pressures and stakeholder expectations.  Companies grow and pivot in two ways – organically or through acquisition or sales of parts....more

Ballard Spahr LLP

GC Insights: SEC Issues Statement on Role of Audit Committees

Ballard Spahr LLP on

The Securities and Exchange Commission (SEC) issued a Statement—signed jointly by the Chairman, the Chief Accountant, and the Director of the Division of Corporation Finance—on December 30, 2019, titled, “Statement on Role of...more

Mayer Brown Free Writings + Perspectives

Legal Update: Ring in the New Year with SEC Year-End Guidance

During the last two weeks of 2019, the US Securities and Exchange Commission offered guidance and reminders relating to the role of audit committees, international intellectual property and technology risks, and confidential...more

Wilson Sonsini Goodrich & Rosati

SEC Issues Statement on Key Reminders for Audit Committees

On December 30, 2019, Chairman Jay Clayton, Sagar Teotia, the Chief Accountant, and William Hinman, the Director of the Division of Corporation Finance of the U.S. Securities and Exchange Commission (SEC), issued a Statement...more

Stinson - Corporate & Securities Law Blog

SEC Statement on Role of Audit Committees and Key Reminders

SEC Chairman Jay Clayton, Sagar Teotia, Chief Accountant and William Hinman, Director, Division of Corporation Finance issued a Statement on Role of Audit Committees in Financial Reporting and Key Reminders Regarding...more

The Volkov Law Group

Turning a Turbulent Social and Political Environment into Positive Ethical Culture Strategies

The Volkov Law Group on

Corporate cultures do not operate in a silo or free from external influences.  Yet again, another profound grasp of the obvious.  Employees, managers and senior leadership all bring their own experiences, perspectives,...more

Womble Bond Dickinson

Recent Director and Executive Compensation Lawsuits Heighten Need for Robust Corporate Governance

Womble Bond Dickinson on

Over the past two years, there has been an uptick in the number of lawsuits challenging director and executive compensation. Cases such asIn Re: Investors Bancorp, Stein v. Blankfein, Hertz v. Frissora and, most recently,...more

Thomas Fox - Compliance Evangelist

What is Innovation in Compliance and Why is it so Hard? Part I

One of the topics I enjoy exploring the most is all things around innovation in compliance. In fact, I dedicate an entire podcast to just that topic, which is aptly named Innovation in Compliance....more

Thomas Fox - Compliance Evangelist

Leadership Lessons from the Presidency of Millard Fillmore

I continue my short series on what leadership lessons might be learned from four Presidents immediately preceding the Civil War with the presidency of Millard Fillmore the 13thPresident, who assumed the office upon the death...more

The Volkov Law Group

When Your CEO Just Does Not Get It

The Volkov Law Group on

There are a lot of talented CEOs. Some remarkable leaders, innovators and eloquent spokespeople for their companies. In several recent experiences, I have been befuddled by some CEOs....more

Thomas Fox - Compliance Evangelist

Bloomsday and the Foundation of Culture

When companies come under investigation, the DOJ will ask two principal questions about the company’s compliance function. The first question is “what was the state of the compliance program at the time of the improper...more

The Volkov Law Group

Leadership Support Provides Compliance Credibility

The Volkov Law Group on

We often hear the compliance refrain on the importance of tone-at-the-top – meaning when the board, the CEO and senior executives demonstrate by communications and by conduct their commitment to a culture of ethics and...more

Mitratech Holdings, Inc

How a Sports Fan Saved His Company With Compliance

In 2015, when FIFA was experiencing scandal from all sides, lifelong sports fan Pedro Castro Nevares was called in to take over the compliance function at Torneos y Competencias, a South American sports marketing firm that...more

Thomas Fox - Compliance Evangelist

Convergence of Cultural Styles to Move the Needle Forward

I continue my exploration of how to change the culture in an organization based upon a series of articles in the most recent edition of the Harvard Business Review (HBR) by Boris Groysberg, Jeremiah Lee, Jesse Price and J....more

The Volkov Law Group

Three Simple Steps to Improve Your Corporate Culture

The Volkov Law Group on

What exactly does “corporate culture” mean?  Compliance professionals often talk about how important “tone from the top” or the “mood in the middle” is, but what does that really mean?...more

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