Ethics

News & Analysis as of

Leadership Lessons from the Movies

Today, I wanted to consider some of the recent leadership lessons I have explored on my podcast, 12 O’Clock High, a podcast on business leadership. In the series, host Richard Lummis and myself, mined some of our favorite...more

Building Trust in an Organization as a Step to Operationalizing Compliance

Earlier this week I explored LRN Corporation’s (LRN) 2016 Ethics and Compliance Program Effectiveness Report (Report). One of the key findings of the Report was that if there was greater employee trust, the values of ethics...more

Whacky Employment Claims: Who's Whackier? Management or the Employee?

As employment defense attorneys, we see many strange situations arise in the workplace. The question is, how prepared are you as an employer to handle the wackiness that may potentially arise when your employees make...more

2017 EMEA & APAC Culture and Compliance Benchmark Report - Data And Insights To Put To Work In Your Programme Today

NAVEX Global partnered with an independent research agency to investigate how companies headquartered across Europe, Middle East and Africa (EMEA) and Asia Pacific (APAC) develop and execute their ethics and compliance (E&C)...more

Legal and Compliance Coordination – An Essential Foundation to an Effective Compliance Program (Part IV of IV)

Here is a profound grasp of the obvious – Lawyers can be difficult people. Some like to condemn the profession in its entirety (and carry with them a collection of lawyer jokes). As an attorney, I beg to differ. Many...more

Startup Culture Seems to Be Missing One Key Ingredient—Culture

Sometimes when I read tales of startups riddled with problems of corporate culture and poor conduct, I want to grab the founders by their shoulders and shout, “You’re doing it wrong!” I suspect I’m not alone among compliance...more

LRN Compliance Program Effectiveness Report: Part III

This week I have been considering the LRN Corporation’s 2016 Ethics and Compliance Program Effectiveness Report (LRN Report) by outlining some of its general findings. Today, I want to conclude by using the Report as a road...more

Getting to Know You, Getting to Know All About You — Business Buy-In to Compliance Functions (Part III of IV)

We all know that a compliance program without business buy-in is, by definition, an ineffective compliance program. The level of business support ranges from “mouthing” support to full-fledged embrace and ownership of...more

LRN Compliance Program Effectiveness Report: Part II

Yesterday I began a series on the LRN Corporation’s (LRN) 2016 Ethics and Compliance Program Effectiveness Report (Report) by outlining some of its general findings. Today, I want to focus on its detailed findings as it...more

Your Daily Dose of Financial News

Following up on news last week that Bill Ackman was finally done with his grand Valeant experiment, the Times gives us a deeper look at what was really going on with the activist investor’s bet and ultimate $4 billion loss....more

LRN Compliance Program Effectiveness Report: Part I (and Farewell to Chuck Berry)

Last week I interviewed Susan Divers, Senior Advisor at LRN Corporation, on the company’s 2016 Ethics and Compliance Program Effectiveness Report (Report). The Report was a fascinating review of the evolution of compliance...more

What Does the "Good News Cocoon" Mean to Business & Compliance?

Recently, I had the pleasure of engaging with compliance and business leaders in Europe and Asia. It’s an honor to be traveling again, and to hear about ethical and compliance challenges from those who work in the middle of...more

For the First Time Since 2011 Case Closure Time for Employee Hotline Reports Is Down

Case closure times on employee hotline reports improved last year—one of the most promising findings in NAVEX Global’s 2017 Hotline Benchmark Report. The four-day drop in median closure time indicated in the 2016 report halts...more

Managing Your Ethical Culture: Measure, Intervene and Remediate

In the wake of ever-constant business scandals (e.g. ZTE, VW, Takata, Odebrecht), chief compliance officers have to refresh their approach and strategy. Everyone agrees, or at least I think they should agree, that a company’s...more

A New Resource for the Modern Compliance Professional

There is a knowledge gap among compliance professionals, and it’s not due to a lack of information. In fact, the main culprit may be too much information located in too many disparate places. Our industry is continuously...more

Corporate Law & Governance Update - March 2017

Executive Compensation Developments - The general counsel should anticipate questions from the board and its executive compensation committee from recent media coverage of executive compensation (especially in the...more

Three Findings Surface in the 2017 EMEA & APAC Culture & Compliance Programme Benchmark Report

The business case for corporate culture and its effects on reputational risk management, regulatory violation and misconduct avoidance has become increasingly tangible over the recent years, and even months. This makes any...more

Creation of Roundabout and Operationalization of Compliance

Readers of this blog know of my love for progressive rock music and that my favorite prog rock group is Yes. You might understand how thrilled I was when the Wall Street Journal (WSJ), of all places, ran an interview with...more

Great Expectations - DOJ holds anti-corruption compliance programs to a high standard in evaluating their credibility

On February 8, 2017, the U.S. Department of Justice (DOJ) released a list of important topics and sample questions that the Criminal Division’s Fraud Section has frequently found relevant in evaluating the adequacy of a...more

Why You Shouldn’t Relax on Pretaliation—Even if Policymakers Do

About two years ago, the Securities and Exchange Commission (SEC) made history when it brought the first “pretaliation” whistleblower enforcement action against KBR Inc., a technology and engineering firm in Houston. The...more

Compliance and Private Equity: An Oxymoron?

We all enjoy an oxymoron, e.g., army intelligence, compassionate conservative. Some words go together and some do not. When it comes to compliance and private equity companies, you can predict with usual success that private...more

The Two Most important Words in a Compliance Dictionary: Trust and Integrity

Humans have an innate desire to complicate things. When it comes to ideas, professionals are no different – compliance consultants, lawyers, financial advisers and others enjoy solving complicated problems. Such an approach,...more

The Top Five "Gotcha" Deficiencies Plaguing Asset Managers and How to Avoid Them

Let’s start with this caveat: as we all know, under the still-new Trump Administration, priorities may and are likely to change. Now that we got that off our chest, it is nevertheless not the time to sit back and wait. The...more

My China Compliance Diary

When my supervision (probation) ended in January 2017, the US District Court in DC released my passport, and I could once again travel internationally. And with that milestone, a note of thanks to all the international event...more

Funds Talk: March 2017

OCIE Highlights Frequent Topics for Compliance Deficiencies for Investment Advisers - On Feb. 7, 2017, the Securities and Exchange Commission’s (SEC’s) Office of Compliance Inspections and Examinations (“OCIE”) published...more

1,028 Results
|
View per page
Page: of 42
Cybersecurity

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.

Already signed up? Log in here

*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.
×