Ethics

News & Analysis as of

Social Links: Yellow journalism rakes in cash; NYC law protects gig economy pay; Twitter suspends “alt-right” accounts

“Yellow journalism” websites are using social media to capitalize on popular ideology. And they’re making a bundle. New York City recently passed the country’s first law protecting the wages of “gig economy” workers. The...more

Coordinating Third Party Due Diligence and Procurement

Third party risk management is easily one of the most challenging risks for compliance officers. With all the attention and hype surrounding third party risk, companies have marshaled attention and resources to mitigate the...more

Third-Party Risk Programs Should Focus on Offense, not Defense

Just 43 percent of organizations surveyed in NAVEX Global’s 2016 Ethics & Compliance Third Party Risk Management Report said they evaluated third parties before engaging with them—down from 68 percent in 2015....more

5 Key Takeaways from My Long List of Regulatory Changes Shared at ECVC2016

As 2016 draws to a close with a major political transition underway in Washington, D.C., organizations already dealing with a rapidly evolving regulatory environment now face uncertainty regarding whether some of the new...more

Spikes in Sales and Compliance

What is risk and how should it be evaluated? What is the data that should be reviewed to determine if an increase in sales is based on unethical or even illegal behavior? Finally, what happens when you migrate company...more

Rebuilding Trust in Business: DLA Piper's Recommendations

In 2011, DLA Piper embarked upon an in-depth research programme to shed light on the precarious state of trust in order to help our clients, and the wider business community, better understand the issues and play their part...more

Rebuilding Trust in Business

Our research is based on interviews with elite respondents in business, politics and the media. it therefore provides insights into how the elite views the problem of declining public trust in business, and provides a forum...more

The Myths Surrounding Ethics and Compliance Programs

Chief compliance officers have a difficult job. That is a real profound grasp of the obvious. CCOs face an unending onslaught of tasks, risks and juggling of concerns and activities. On many respects, a CCO’s job is never...more

Blog: Pharmaceutical Reps Now Required to be Licensed in the City of Chicago; Includes Code of Ethics & Potential Transparency...

Earlier this week, the Chicago City Council joined other government agencies in imposing licensure and marketing requirements on pharmaceutical representatives when it unanimously approved licensing requirements for...more

Infusing Your Compliance Program with Business Ethics

It is important to remember that companies are required to implement an ethics and compliance program. Ethics should not ever be a segregated issue carved off from a compliance program. They walk hand-in-hand, and reinforce...more

When Managing Whistleblower and Retaliation Risk, Tools are Important – Processes and People are Critical

One collection of terms I hear a lot is “tools, processes and people.” All three need to be successfully deployed to make a compliance program run properly while also creating an organizational culture that supports...more

When Tone at the Top Is Missing

We all tend to gloss over a critical requirement for an effective ethics and compliance program – tone-at-the-top. I hate to be dogmatic about the issue but, as Mel Brooks said in the Curb Your Enthusiasm (Season 4, Episode...more

In Case You Missed It: Launch Links - November, 2016

Some interesting links we found across the web this week: The Obvious Mistake Most Startups Know Not to Make (But Still Make Anyway) - Don’t mistake your big ambitions for an excuse not to start small....more

Post-Election Outlook: A New, Unpredictable World

In a shock to investors and political analysts around the world, Donald J. Trump won the 2016 Presidential election, putting the Republican Party in charge of the White House and Congress for the first time in a decade. Even...more

Making Sure Business Ethics Has a Seat at the Table

Everyone likes to cite and talk about the list of horrible scandals. Whether it is Enron, WorldCom, Siemens, GM, VW, Wells Fargo, we pick through the details, cite failures and use it as a springboard to a discussion of...more

Social Links: LinkedIn’s new feature estimates compensation; states grapple with social-media-account-inheritance laws; insurance...

Because it bases its assesments on job title, location and industry, LinkedIn’s new Salary feature might be more accurate than are other online compensation estimation tools....more

AAG Caldwell Touts Success of FCPA Enforcement and Pilot Program

In a speech last week, Criminal Division Assistant Attorney General Leslie Caldwell touted the success of the FCPA Pilot Program. AAG Caldwell outlined the success of the FCPA enforcement program, listing many of the...more

Arguing the business case for respecting human rights

The business case for respecting human rights is becoming increasingly evident. Not only does it fulfill a business’ responsibility to be an ethical actor in society, it is also an integral part of sound risk management, good...more

An Effective Manual Compliance Program is an Oxymoron

No matter how proficient a compliance professional you may be, the deck is stacked against you if you are not automating your ethics and compliance program in the same ways other functional groups are automating their...more

Code of Conduct: Your Corporate Constitution

How important is your company’s code of conduct? We liken it to a corporate constitution—your highest-level policy, from which all of your other policies, procedures and rules derive, and without which you cannot expect to...more

4 Ways Continuous Improvement is Essential to an Effective Compliance Program. Stephen Kasloff Explains [PODCAST]

Stephen Kasloff is Director and Senior Advisor of Compliance & Ethics Solutions LLC and an expert in how continuous improvement is vital to compliance programs. As Stephen explains, continuous improvement is essential to...more

Corporate Corruption, Culture and Compliance (Part II) [Video]

In part II of my interview on CCTV America, The Heat (October 25th), I respond to questions about the hazards which can occur when compliance leaders lose their “line of sight” into the business. I also share my...more

OCIE Staff to Examine Registered Advisers' Policies and Agreements for Whistleblower Rule Compliance

On October 24, 2016, OCIE published a risk alert noting that the SEC exam staff intends to examine registrants' compliance with the Dodd-Frank Act's whistleblower provisions. The alert noted recent enforcement actions...more

4 Questions About the Yates Memo’s First Year

The release of the so-called Yates Memo in fall 2015 shook the compliance world. U.S. Deputy Attorney General Sally Q. Yates made it clear that federal regulators would look to combat corporate misconduct by “seeking...more

Corporate Corruption, Culture and Compliance (Part I) [Video]

On October 25th, I appeared on CCTV America, The Heat, where I took a deep dive into the issue of corporate corruption in the United States. My co-panelists were Marc Hodak, who counsels corporations as the Founder of...more

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