Corporate Management

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A&O Decision Report: Upper Tribunal Upholds FCA's Findings That A Non-Executive Director Failed To Act With Integrity Due To Her...

In this report, Sarah Hitchins, an associate in Allen & Overy LLP's Banking, Finance and Regulatory Litigation Group, considers the decision of the Upper Tribunal (Tax and Chancery Chamber) (the Upper Tribunal) in which it...more

Doubling The Impact of Your Ethics and Compliance Program With A Liaison Network

Last week we had the pleasure of listening to Jeff Piposar, Director and Executive Advisor for CEB Compliance & Ethics, share how to multiply limited resources in our webinar, “Building A Scalable Compliance Infrastructure:...more

10 Steps to Help Middle Managers Embrace Your Ethics and Compliance Training Program

In my last post, “Middle Managers: The Key Messengers For Your Ethics and Compliance Training Program,” I covered the top four challenges middle managers face, and the top three concerns compliance professionals face. With a...more

USCIS Seeks Feedback on RFE Template for Multinational Executive and Manager Category

In April 2010, U.S. Citizenship and Immigration Services (USCIS) launched its Request for Evidence (RFE) Project, an initiative to review and revise the agency’s Service Center RFE templates. Since then, USCIS has published...more

Reconciling Sales Strategy With FCPA Compliance

When Ethical Boardroom asked me to contribute an article on the Foreign Corrupt Practices Act (FCPA) and international sales strategies, I thought it might be interesting to include an organisational change dimension in...more

A Manager's New Year's Resolutions

One of the annual goals of every good CEO, manager or supervisor should be to reduce the company's exposure to employment litigation. The cost of state or federal litigation keeps going up, and just one employee lawsuit can...more

Financial Institutions and a Lack of Ethics

If there is one industry that needs an ethics overhaul, it has to be the financial industry. The list of transgressions continues to grow – AML/sanctions, LIBOR, Foreign Exchange Currency Cartels and Market Manipulations,...more

What’s the Password for Compliance? Swordfish and Lessons for the CCO

I continue my exploration of the Marx Brothers this week by looking at their most successful commercial film made for Paramount, Horse Feathers. While Duck Soup is and always will be my favorite film due to its overall and...more

What Do Employees Want? A Warm And Fuzzy Post

Yesterday morning, I tweeted a thought-provoking article by Travis Bradberry in Forbes on “Why Your Boss Lacks Emotional Intelligence.” According to the article (and no big surprise), a study found that people in higher...more

Middle Managers: The Key Messengers For Your Ethics and Compliance Training Program

Are you struggling to engage middle managers? Most organizations are. Many compliance professionals are already aware of the importance of engaging these leaders within your organization. CEB’s Q1 2014 Edition of Risk...more

Uncovering the “Why” in FCPA Compliance Issues [Video]

Jan. 8, 2014 (Mimesis Law) -- With the consequences of FCPA noncompliance ranging from “huge” to “catastrophic,” compliance should be top-of-mind for U.S. companies doing business with third-party intermediaries and...more

Pow! Whack! Slam! Bam! – DOJ Finishes the FCPA Year with a Bang

Giving away my old age, we all loved the 1960s Batman series starring Adam West. Thanks to the Batman show we were given a long list of words to underscore Batman and Robin’s slugfests with the weekly villain (e.g. Penguin,...more

Crisis Management: Five Steps to Take Before Providing That Comment

In the digital age, news—good and bad—travels fast. So can its effect on your corporate image and success. From data breaches to innocent and vicious leaks, a corporate crisis can engulf your business in an unforgiving news...more

Viewpoints – Issue 20 – Board leadership in crisis management

Members of the Lead Director Network (LDN) met in New York City on November 13, 2014, to discuss crisis management and cybersecurity. Dan McGinn, a communications expert with more than three decades of experience advising...more

Using Board Executive Sessions to Manage Enterprise Risk

Boards of directors are now thoroughly immersed in enterprise risk management, so much so that separate risk oversight board committees are fast becoming common practice. (See this Doug’s Note.) Boards and management...more

Compliance Lessons from Santa

We interrupt our Avon blog post series to announce that a large man, with a white beard and red suit, will visit all on Wednesday evening. In honor of Christmas I want to write about some of Santa’s business lessons, which I...more

Bribery and Business Attitudes

Alison Taylor, Senior Managing Director, Control Risks, in a white paper, “Risk, An Organizational Perspective,” states “the traditional preventative approach to risk management is proving inadequate in the face of regulatory...more

2014 Information Governance Year in Review

2014 has been perhaps the biggest year Information Governance (“IG”) has seen. A relatively small and, if not unknown, at least undefined field only a few years ago has grown into an area of interest—and concern—to many...more

Avenues for Reporting Employee Concerns

We all like to make things more complex or difficult than they need to be. Consider that a life lesson that we can share with our children, assuming they are even listening to us these days....more

Adding Cyber Security to Corporate Risk Management

Corporate boards and senior management like to focus on business. They love the numbers, the strategy and the success of a business operation. They have a passion for it and that is why they are sitting on board or managing a...more

The Eve of Destruction and Tone at the Top – You Are Who Say You Are

In 1965 the single Eve of Destruction was released. It was written by an 18 year old named Phil Sloan and was sung by former member of the New Christie Minstrels named Barry McGuire. To top it off, it was produced by Lou...more

Seven Things DOJ Insiders Expect Organizations To Know (and Do) About Antitrust Compliance

For most organizations, the risk of violating antitrust laws is real. But when it comes to the most serious of antitrust violations, such as cartels and significant price fixing schemes, there is often an “it won’t happen...more

On Compliance Leadership: From Edward VIII to LeBron James

On this day in 1936 King Edward VIII became the first English monarch to voluntarily abdicate the throne. He chose to abdicate after the British government, public and the Church of England condemned his decision to marry the...more

Compliance Attitudes in High-Risk Markets

A Chief Compliance Officer has a direct responsibility to promote the company’s business. That sounds like a controversial statement but it is not. Every officer and employee of a company has that responsibility....more

Information Letter: Management Liability: Potential Risk Zones (Russia)

The recent court practice shows that lawsuits seeking compensation of damages caused to company by its management are being filed with increasing frequency. It is largely due to courts' departure from formalistic approach to...more

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