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Corporate Management

When is the Right Time? The Indians Streak and Monitoring

by Thomas Fox on

My challenge on when to write about the Indians winning streak informs today’s blog post, as I consider when you should use ongoing monitoring. Every compliance practitioner recognizes the prevent, find and fix tripartite...more

Compliance Leadership Tips from the Surgeon General-the Art of Persuasion

by Thomas Fox on

For myself, September 11th is the most solemn day in the history of our country that I have lived through. Others of my parents’ generation point to December 7th with the same reverence I feel as the day America was attacked....more

The Importance of Human Capital Diligence

by King & Spalding on

A commercially-focused COO joins a $300M company to help professionalize the organization in preparation for a sale. Investors are impressed with his articulate and energetic demeanor, and he quickly builds rapport with the...more

Will Your Assets Be Stranded? The Risk Management Process in ESG and Compliance

by Thomas Fox on

State Street Global Advisors (SSGA) is a company which engages in US and broader international institutional investing, largely on behalf of its clients. Some of the areas it focuses on include environmental, sustainability...more

Practicing Compliance

by Thomas Fox on

It has certainly been a week for the ages in Houston, most of Texas and all along the Gulf Coast as Hurricane Harvey has wrecked a level of havoc not scene in that large a swath for many a moon, if ever. Ending this...more

How Weather Can Bring Analytical Clarity to Compliance

by Thomas Fox on

Sometimes I pick a topic for a week’s theme of blog posts, as I did last week with the topic of soft skills needed to navigate a successful remediation. Then there are times where it appears the theme picks me or at least...more

Ethics, Temptation and Money

by Michael Volkov on

A corporate entity is like its own community – it has a culture, a set of values and principles that form the foundation for the company’s operations, and an overall purpose. The interesting factor that has to be identified,...more

Across the Board-Episode 5, Visualization of Data for a Board

by Thomas Fox on

In this episode, I visit with Joe Oringel, co-founder of Visual Risk IQ, a data-analytics and visualization company. They have developed a manner to not only extract data but present it in a way that is very interesting, very...more

Avoiding Management Struggles When it Comes to Data Breaches: Part 6

by Bryan Cave on

The best way for a company to handle a data breach is to be prepared. As we discuss in our data breach readiness handbook, preparation includes, among other things, drafting an incident response plan, reviewing...more

SFC Proposes Rules and Code for Open-Ended Fund Companies

by Dechert LLP on

Recently, the Hong Kong Securities and Futures Commission (SFC) published a consultation paper on the Securities and Futures (Open-ended Fund Companies) Rules (Rules) and Code on Open-ended Fund Companies (Code) which, if...more

Time for Compliance to Take a Stand

by Thomas Fox on

Chuck Duross has called the compliance profession “The Alamo” of corporate America, in that sometimes you must take a stand, draw a line in the sand and make the ultimate commitment to your values. Based upon the events in...more

Why Wells Fargo Needs Compliance Expertise on its Board

by Thomas Fox on

In a New York Times (NYT) Dealb%k article, entitled “Wells Fargo Vice Chairwoman to Succeed Departing Chairman”, Stacy Cowley reported that the Wells Fargo Board of Directors Chairperson, Stephen W. Sanger, will retire at the...more

Leadership Lessons from James Madison

by Thomas Fox on

I continue my leadership series based upon the lives of US Presidents by looking at leadership lessons from the fourth President, James Madison. Madison lived a life full enough for several people. He served as both a member...more

Leadership Lessons from Dunkirk

by Thomas Fox on

There are several leadership lessons which I believe can be learned from the British (and German) experiences at Dunkirk, which was a series of battles, campaigns and events that lasted from May 25, 1940 until June 4, 1940....more

Every CCO Needs Authority + Autonomy + Resources

by Michael Volkov on

Chief compliance officers are the rising stars in the corporate governance world. However, CCOs have to avoid complacency. CCOs have a lot more to accomplish — it is almost as if the profession has put its collective foot...more

Good-Bye to the Wichita Lineman – Know Your Values and Stay True to Them

by Thomas Fox on

Glen Campbell died yesterday. He was truly an American original. He grew up dirt poor, as a sharecropper’s son, near Delight (pronounced DEE-light), Arkansas and went onto to achieve worldwide fame. While many will remember...more

Kon-Tiki and Bold Leadership in the Corporate Setting

by Thomas Fox on

According to This Day in History, on this day 70 years ago, the balsa raft Kon-Tiki, captained by Norwegian anthropologist Thor Heyerdahl, completed a “4,300-mile, 101-day journey from Peru to Raroia in the Tuamotu...more

FCPA Risks and Acquisition Integration Challenges

by Michael Volkov on

Chief compliance officers have devoted significant efforts to conducting pre-acquisition due diligence of a proposed target companies. I do not intend to diminish the importance of pre-acquisition due diligence, but I have...more

Is Your Company At-Risk for a Government Enforcement Action?

by Michael Volkov on

For some reason, I have always believed that picking successful stocks should not be very difficult. Unfortunately, my record in the stock market does not back up my self-assessment. On the other hand, when it comes to...more

Clarence Darrow, the Scopes Monkey Trial and Leadership

by Thomas Fox on

Today we honor one of the ‘Trials of the Century’ from the 20th century, as on this day in 1925, the Scopes Monkey Trial ended with defense attorney Clarence Darrow giving one of his greatest closing arguments, asking for his...more

Recommendations for Uber Are Roadmap for All?

by Shipman & Goodwin LLP on

If you had a million dollars (or more) to investigate your culture, what would you find out? (Music fans may appreciate the classic “If I Had a Million Dollars” song from the Barenaked Ladies. You’re welcome.)...more

Sgt. Pepper’s at 50 – Leadership Lessons from the Faux Band

by Thomas Fox on

The 50th anniversary of the release of Sgt. Pepper’s Lonely Hearts Club Band is reason alone for celebration. But you can use the album, its themes and images to enhance your compliance regime. As it is also my favorite...more

Setting Your Compliance Program by the North Star

by Thomas Fox on

Today I celebrate a potpourri of history to lead into some leadership lesson for a Chief Compliance Officer (CCO) or aspiring CCO. According to This Day In History, today marks the second formation of the Committees of...more

10 Questions to Operationalizing Compliance

by Thomas Fox on

A Harvard Business Review (HBR) article, entitled “Does Management Really Work?” by Nicholas Bloom, Raffaella Sadun and John Van Reenen, provided some succinct advice about what a business can do to improve its management...more

Selecting an Advisory Board – Do’s & Don’ts

by Gray Reed & McGraw on

Beginning as a part-time college job walking friends’ dogs, Cary Barker’s full time business now employs over 30 college students to walk neighborhood dogs and to deliver them for daily activities to and from his Barkingham...more

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