Ethics

News & Analysis as of

New Arbitrators, New Code of Ethics for the KCAB

Just recently the Korean Commercial Arbitration Board (KCAB) announced both the appointment of new arbitrators and the adoption of a new Code of Ethics for Arbitrators in 2016. Both changes demonstrate the KCAB’s continued...more

New York 2016 Legislative Session Wrap Up

The New York state legislature closed out its 2016 legislative session in the early morning hours on Saturday. Although the legislature came up short on a number of big-ticket items, such as comprehensive legislative ethics...more

Compliance Training – Part IV: the Gamification of Compliance Training

I conclude my four-part series on ethics and compliance training today by looking where effective training is going. One of the criticisms leveled by L. V. Anderson, in her Slate article, entitled “Ethics Trainings Are Even...more

Compliance Training – Part III: Effectiveness and Evaluation

This week, I am exploring issues related to compliance and ethics training, inspired by an article in the online publication, Slate, entitled “Ethics Trainings Are Even Dumber Than You Think”, by author L.V. Anderson. Today I...more

After the Report: 4 Critical Best Practices for Protecting & Respecting Internal Whistleblowers

One essential element of a strong whistleblower reporting system is often overlooked: communications with reporters—whether reporting anonymously or not—after they have logged their issue or concern. Reporters who feel that...more

Compliance Training – Part II: Risk Ranking and Design

Yesterday I began what I thought would be a two-part series on compliance training.However, or perhaps more accurately, as usual, I got carried away so I am now off on a multi-part series on how to design, implement and...more

Compliance Training, Part I

In a recent Slate article, entitled “Ethics Trainings Are Even Dumber Than You Think”, author L.V. Anderson railed against what she termed box-checking training where companies put on training not to actually train employees...more

New York State Announces Broad Set of Ethics and Campaign-Finance Reforms

Late last week, New York Governor Andrew Cuomo and State legislative leaders announced agreement on a broad set of ethics and campaign-finance reforms focused on increased disclosure, transparency, and public trust....more

Father’s Day and Compliance?

I really never thought much about the connection until I read an article (on Father’s Day) in the June 2016 Issue of the Harvard Business Review, Managing the High Intensity Workplace, by Erin Reid and Lakshmi Ramarajan. The...more

[Webinar] How do I Demonstrate the Advantages of an Automated Third Party Due Diligence System to Senior Leadership? - July 8th,...

Join NAVEX Global and a group of your peers for a short session where we’ll answer your questions and share solutions about third party due diligence and risk management software....more

The Ethics Advisor: Vamos a la Playa!

Fifth in a series by BB&K Partner Ruben Duran for the Southern California Latino Policy Center Newsletter - Summer’s approach often brings thoughts of travel. Whether with family or friends, by train, bus, car or plane,...more

Defining “Effective” Ethics and Compliance Programs

The compliance profession faces many challenges. Some are more important than others. When it comes to evaluating performance, or measuring compliance programs, the profession has a steep uphill climb....more

Lie to Win or Be Honest and Lose? When Ethics Can Cost You

What would you do? In this classic situation, all the elements for staying the course rather than disclosing the truth are present and the question is: should you tell on yourself? Ellen Hunt sets forth the dilemma that we...more

[Webinar] Ethics and Cybersecurity - June 29th, 12pm CDT

With recent headlines about successful attacks on corporate computer systems, safeguarding client electronic information is an issue that all attorneys must address. This presentation will discuss the ethical rules that...more

The Damaging Myth of the Rogue Employee

As long as 24 years ago, Lynn S. Paine wrote about the myth of the rogue employee in the Harvard Business Review (HBR), in an article entitled “Managing for Organizational Integrity”. In this article she wrote, “executives...more

[Webinar] How do I Keep All My Employees—From Millennials to Boomers—Engaged with Compliance Training? - June 24th, 10:30am...

Join NAVEX Global and a group of your peers for a short session where we’ll answer your questions and share solutions about Ethics & Compliance Training....more

The “Economic Costs” of Compliance Mandates

I always enjoy economists and the rigor of economic analysis. It has a logic all its own. Economic theory reveals the power of incentives and disincentives. Many critics of economic theory fail to see how it applies to...more

How to Simplify Your Code of Conduct Attestation Language

What does your code of conduct acknowledgement process look like? If your annual attestation language is long, confusing or overly complicated, you run the risk of alienating your employees—and missing an opportunity to...more

Third Party Risk Management: Balancing Due Diligence Screening and Monitoring

In response to aggressive FCPA enforcement and recurring problems with third parties, companies have spent substantial resources and time to design and implement comprehensive ethics and compliance programs. A key part of...more

Is Your Organization Prepared for Ontario Bill 132?

On September 8, 2016, new legislation in Ontario will go into effect requiring employers to investigate incidents or complaints of harassment or sexual harassment in the workplace. Employers with employees in Ontario will...more

Traders and Compliance Professionals Take Note: Phase One of New BIS “Global Code” Establishes “Best Practices” in the Foreign...

Limitations on Use of Confidential Information is Prominent in the New Standards Continuing Recent Enforcement Trend in the Commodities and Derivatives Markets - On May 26, 2016, the Foreign Exchange Working Group...more

Are You Leaving Whistleblowers Waiting?

One of the troubling findings in our most recent Ethics and Compliance Hotline Benchmark Report is that organizations are taking longer and longer to close cases, continuing a trend we’ve seen throughout this decade....more

Do Former Prosecutors Make Good CCOs?

A number of companies have adopted the requirement that a new Chief Compliance Office come from the ranks of former federal prosecutors. I am not sure exactly why companies have adopted this requirement. Perhaps company...more

The Problem of Wearing Two Caps Simultaneously – Part I

A favorite teaching tactic in legal ethic courses is putting on and taking off different caps to illustrate the different roles lawyers play in various relationships. This “on again/off again” routine demonstrates that the...more

Sponsoring events during the upcoming Democratic and Republican national conventions

Recently the House and Senate Ethics Committees issued updated guidance for Members of Congress, Congressional staff, and outside groups to follow in conjunction with events being sponsored during the Republican National...more

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