Ethics

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Blog: Ethics And Compliance Initiative Provides Guidance On Establishing High Quality E&C Programs

The Ethics and Compliance Initiative has released a report of its blue ribbon panel on the Principles and Practices of High-Quality Ethics & Compliance Programs, designed to provide practical guidance for companies that want...more

New Jersey Supreme Court Questions Ethics of “Friending” a Litigation Foe

Attorneys often research adverse parties online to obtain potentially useful—and publicly available—evidence for use in a case. But, as an ethical matter, may an attorney access information available only through an...more

The New FCA Whistleblower Rules: What You Need to Know

In October 2015 the Financial Conduct Authority (FCA), alongside the Prudential Regulation Authority (PRA), published new rules in relation to whistleblowing channels in banks and other financial institutions to encourage a...more

Friday Links - April 2016 #2

Defense lawyers who checked out the Facebook page of a plaintiff suing their client can be prosecuted for attorney misconduct, New Jersey judge rules... ...more

Finding “Compliance” Religion

One of the more cynical “commitments” to compliance occurs when a company embraces compliance for the first time in response to a government investigation.  I call this  — finding “compliance” religion. When a company is...more

How to Be a Happier Lawyer

Most lawyers reach a point when they wonder: Am I spending more time stressed and miserable than I am challenged and fulfilled? We’ve been trained to win at all costs, but even when we succeed, we still remember what we did...more

5 Ways Training on Your Compliance Policies Can Protect Your Organization

We write a lot about the importance of creating, implementing and managing the right policies. But implementation is only half the battle. If you don’t give your employees thorough, effective and regular training on them, you...more

[Event] Tech Talk: Best Practices for Compliance & Ethics Leadership: Strategy, Data and Cultural Performance - April 27th,...

Please join us on April 27, for an afternoon with ethics & compliance executives from leading companies, assembled to share in an interactive dialogue on cutting-edge data, case studies, and new approaches to company culture...more

SC Public Policy Update - April 2016

What's New - SENATE - The Senate took furlough this week and did not meet in statewide session. The Senate will reconvene Tuesday, April 5th, at noon....more

Key Findings from NAVEX Global's Third Party Risk Management Benchmark Report

Vendor risk management and, in particular, third party risk management has become one of the toughest issues companies face—especially after a string of high-profile compliance failures in recent years. The majority of...more

The Demise of Valeant Pharmaceuticals: A Case Study in Rotten Culture and Business Ethics

Showing my age again, Woody Allen’s Take the Money and Run included a hilarious scene when Woody’s parents wearing Groucho Marx glasses talk about their criminal son (Woody/Virgil Starkwell), his dad exclaimed “He’s rotten,...more

Are Pins, Posts, Tweets and Likes Appropriate for Use in Selecting Jurors?

When you hear the name of someone you can’t place or don’t know much about, what do you do? Chances are, you “Google” them. Well that is what attorneys are doing to learn more about prospective jurors too! But they are not...more

Your Company’s Compliance Program is Finished – April Fool's

Happy April Fool’s Day! Could you ever imagine coming to work one day and realizing that you have “finished” your ethics and compliance program? There is nothing left to do. You can go home. Ohhhh, if only it was so....more

Hulk-Sized Damages in Sex Tape Privacy and Publicity Case

In 2006, Terry Gene Bollea, better known as “Hulk Hogan,” had sex with his best friend’s wife, Heather Clem. Apparently unbeknownst to either of them, his best friend Todd Alan Clem, now legally known as “Bubba the Love...more

Florida Issues Ethics Guidance for Accountants Advising Marijuana Businesses

The Florida Board of Accountancy recently joined a small group of states in issuing guidance on whether providing accounting services to a marijuana related business violates an accountant's ethical requirements. The Board...more

A Federal Judge Said Some Really Nasty and Unfair Things About Me—Can I Appeal?

What standards apply in the federal circuit courts to appeal a finding that a lawyer acted improperly? One particularly confusing area of ethics practice is the test in federal circuit courts to appeal a “finding” that a...more

Practical Management of Your Company’s Culture

I attended the SCCE’s recent Utilities and Energy Compliance conference in Houston. It is always a great meeting with terrific speakers and content. I was fortunate to attend a session, Taking the Pulse of Corporate...more

Creating an Ethical Culture and “Outside” Influences

Forgive me for taking a step back to address an important challenge in creating a culture of compliance. I know this may sound obvious but in today’s “toxic” political environment it is important to point out some factors...more

A Lesson in Compliance: Part I

You’ve been quite candid with your followers and readers about your compliance violations and subsequent jail term. One of your blog posts addressed the stark reality you experienced when you first found yourself sitting in a...more

Top Ten Ethics & Compliance Predictions & Recommendations for 2016

To help with our predictions and recommendations, we’ve talked with industry experts, our colleagues at NAVEX Global, and ethics and compliance professionals from our more than 12,500 client organizations. Based on their...more

2016 Trends #10: Expanding the Scope of E&C: Is This the Year for Pushing Boundaries and Increasing Authority?

In recent years, questions have been raised—both in the industry and by employees and leadership teams in organizations—about whether the scope of our ethics and compliance programs have become too narrowly focused. Cyber...more

NAVEX Global’s 2015 Europe, Middle East, Africa and Asia Pacific State of Compliance Programmes Benchmark Report

In 2015, NAVEX Global partnered with an independent research agency to survey ethics and compliance professionals with responsibility for administering training across their organizations. The goal was to determine their top...more

Good-Bye to Captain Hocken and Scaling Up Your Compliance Program

George Kennedy died this week. He was one of the few actors who went from playing tough guys to being a hit in comedies. According to his obituary in the New York Times (NYT), Kennedy played “vicious killers, bumbling lawmen,...more

Refining the Case Management Process: Case management is easiest when you think of the process as having three stages

Once a report is filed, efficiency is the name of the game. The compliance baton is passed from the reporting channels where a report is received to managing the case. It’s easiest when you take the case and map it out...more

2015 Ethics & Compliance Third Party Risk Management Benchmark Report

Organizations are still coming to terms with the breadth and depth of their third party risk. An effective third party risk management program is in the interest of all organization —regardless of their size, industry, and...more

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