Ethics

News & Analysis as of

Meeting Society’s Expectations for Corporate Social Responsibility

Younger employees along with the public and media continue to apply pressure on organizations to address Corporate Social Responsibility (CSR) issues including human rights and environmental sustainability. For many...more

When It Comes to Documentation, Smart Companies Behave Like Every Day Is Audit Day

Audits are part of nearly every ethics and compliance program. They come from the Internal Audit Department, outside auditors testing control systems and processes, and in some cases, government regulators evaluating the...more

Volkswagen: When Car Companies Veer Off Course (Part I of III)

Corporate misconduct occurs in a variety of forms. Starting with the basic truism – companies act through people, and when companies engage in misconduct it requires the coordination and collaboration of multiple actors. The...more

The Difference Between Being Right and Doing Right

Not long ago I wrote about the Securities and Exchange Commission’s recent enforcement actions against companies that include pretaliation clauses in their employment contracts. I posted the article online, and one compliance...more

What is Your Ethical Culture?

The indictments last week of executives from Tanaka and Volkswagen roiled many in the business world and ethics and compliance arena. Coming on the heels of the Wells Fargo scandal, one might wonder how corporations can stop...more

Day 15 of 30 Days to a Better Compliance Program-Post Training Evaluation [Video]

What if you want to take you post-training analysis to a higher level and begin to consider the effectiveness through your return on investment (ROI)? Joel Smith, the founder of Inhouse Owl, a training services provider,...more

The Real Explanation for the Record Year for FCPA Enforcement

All the FCPA prognosticators, predictors and paparazzi have missed the boat on understanding what happened this year – 2016, to make this a record year in FCPA enforcement. As a former public servant for over 20 years, I am...more

Digital Visitors Versus Digital Residents: 6 Steps for Improving Ethics & Compliance Training for the Millennial-type Learner

By 2020, millennials will make up 50 percent of the global workforce. At the same time, “Nexters,” or Generation Z – those born after 2000 – will be out of school and making up 20 percent of the workforce themselves. In sum,...more

FCPA Predictions for 2017 (Part III of III)

With the new incoming administration, everyone is busy predicting major changes in DOJ FCPA enforcement. I do not share this view. Frankly, FCPA enforcement is more bipartisan than other controversial enforcement programs...more

The Ethics Advisor: Good Governance Floats on a Sea of Integrity

“In civilized life, law floats in a sea of ethics,” the late Earl Warren, who served as a U.S. Supreme Court chief justice and as California attorney general and governor, stated in a 1962 speech. In a closely related sense,...more

5 Policy Management New Year’s Resolutions

As you look ahead to advancing your ethics and compliance programme in 2017, it is useful to consider how your programme fares against your industry peers, and whether they are experiencing the same challenges as you are....more

Being the “Necessary Evil” is so 2016: It’s Time for Ethics & Compliance to Rebrand Itself

As part of our culture assessments, NAVEX Global’s Advisory Services team has led more than 1,300 in-person focus groups with employees at all levels, in many countries and from every industry. We’ve heard candid comments...more

Despite Privilege, GC May Pursue Whistleblower Retaliation Suit under SOX and Dodd–Frank

California’s USDC–ND ruled that Bio-Rad Laboratories’ former General Counsel may use privileged communications to prove his retaliatory-discharge case prosecuted under Sarbanes–Oxley and Dodd–Frank’s whistleblower...more

5 Trends in Whistleblower Hotlines and Protections to Be Aware of in 2017

Every year it’s safe to assume that our list of Top 10 trends will include the latest developments pertaining to helplines, whistleblower reporting and retaliation, and this year is no exception. We begin by examining some...more

Compliance Paid for Itself in Many Ways in 2016

“A culture of ethics ties long-term performance to the interests of long-term stakeholders.” — Larry Fink, Chief Executive of Blackrock The quote above was mentioned by Timothy Erblich, CEO of Ethisphere, at the...more

Top 10 Ethics & Compliance Predictions and Recommendations for 2017

Once again it’s time for our annual review of trends and events that will impact your Ethics and Compliance (E&C) program in the year ahead. This year presents a unique challenge. We are preparing our predictions...more

Focus On Enabling Your People, Not Controlling Them, To Create an Effective Compliance Culture

When employees of all levels believe in and support policies and standards, that’s when you see real compliance. In-house perspective from NetApp GC, Matt Fawcett....more

The Chemistry of Compliance: Finding the Perfect Blend of Incident Reporting, Training and Case Management

Just about any compliance officer knows that reporting, training, and case management are three indispensable elements of an effective compliance program....more

Reversal of Probation Dept. Convictions Means Ortiz Term Ends with a Whimper

Carmen Ortiz’s term as U.S. Attorney for the District of Massachusetts runs for only a few more weeks. If she’s wishing it were over today, I’d understand. ...more

The Compliance Oversight Review Committee

This week has evolved into an exploration of different types of compliance committees a company might employ to make their compliance function more effective. On Monday, together with Baker Hughes Incorporated (BHI) Chief...more

Gluten Free Compliance

This past November, I had the pleasure of sitting down with Sean Freidlin, Marketing Manager of Compliance & Ethics at SAI Global, www.saiglobal.com  at The Little Beet Restaurant in NYC, to discuss my history with...more

The Board of Directors’ Compliance Committee

Yesterday, together with Baker Hughes Inc. (BHI) Chief Compliance Officer (CCO) Jay Martin, I wrote about a new and innovative compliance committee BHI has initiated, the GeoMarket Compliance and Ethics Committee. In...more

Compliance Role in Mitigating Cyber Mayhem

In recent years, attention has been drawn to the impact of cyber and data breaches and the extent to which our organizations remain vulnerable to these threats. The cost of cyber and data security breaches is well known and...more

The Baker Hughes GeoMarket Ethics and Compliance Committee

Two of the most common compliance focused committees for public companies are those at the Board level and those which sit between the Chief Compliance Officer (“CCO”) and the Board, usually consisting of very senior...more

Shortchanging the Compliance Function

A company that does not back up its words with deeds is doomed to suffer compliance and cultural breakdowns. When a company commits to building a culture of trust and integrity, the company has to keep its word. This is not a...more

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