Ethics

News & Analysis as of

Jason R. Baron of Drinker Biddle & Reath LLP, Part 1: eDiscovery Trends

This is the fifth of the 2017 Legaltech New York (LTNY) Thought Leader Interview series. eDiscovery Daily interviewed several thought leaders at LTNY (aka Legalweek) this year to get their observations regarding trends at...more

Trump’s Executive Order on Ethics

Takeaways - Trump’s Executive Order on Ethics Commitments by Executive Branch Appointees supersedes and revokes Obama’s Executive Order. It requires appointees to sign a similar Ethics Pledge relating to receipt...more

Harassment May be Near an Inflection Point — But Still Much Work to Do

"It’s entirely possible that incidents of sexual harassment will increase — harassers may now believe they can act without consequences. At the same time, victims now may be more fearful of reporting the harassment because of...more

You're Hired: President Trump Introduces Ethics Pledge For His Appointees With Serious Departures from Obama's Ethics Pledge

On January 28, 2017, President Trump signed an executive order that requires all full-time political appointees to sign an ethics pledge (the “Trump ethics pledge”) that “contractually” binds them to certain ethical...more

The FCPA Pilot Program Disciplinary Standards (Part II of II)

Returning to the FCPA Pilot Project requirements for timely and appropriate remediation, the Justice Department added three new elements, one of which reinforces the CCO “independence” requirement. The two other elements for...more

Unpacking the Justice Department’s Compliance Remediation Standards (Part I of II)

The Justice Department has a lot to be proud about when it comes to its FCPA enforcement program. In one area in particular – promoting effective ethics and compliance strategies – DOJ’s FCPA prosecutors have played a...more

Creating a Culture of Ethics and Respect: It’s all about Who You Are and Who You Want to Be

Our annual Benchmark Report always provides great insights into what’s on the minds of ethics and compliance officers, and this past year’s was no different. Probably the most interesting result from our 2016 survey was that...more

US SEC Publishes Risk Alert on Top Five Investment Adviser Compliance Issues Found During Inspections

The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) issued a National Exam Program Risk Alert on February 7, 2017 (Risk Alert), highlighting the “five compliance...more

Putting the "E" in Ethics & Compliance

Developments in information technology are creating more and more opportunities for the automation of E&C programs. Automation and integration can benefit programs in many ways, including increasing effectiveness, efficiency...more

PR in the Age of Alternative Facts

Pitching stories for our legal clients in the days following January 20th, one fact is abundantly clear: like everything else since the inauguration of the new US president, public relations has changed dramatically. The...more

Yikes: The Perils of Remediation and Corporate Monitors

The Justice Department has raised the stakes on anti-corruption compliance. In other words, DOJ prosecutors expect companies to have more sophisticated and mature compliance programs. If a company walks into the Justice...more

Employees, Political Advocacy and the NLRB – What Can an Employer Do?

In the first few weeks of the Trump Presidency, there have been numerous marches, protests and other forms of political advocacy expressing views both in support of and in opposition to the President’s various appointments,...more

Effective Ethics and Compliance Training

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

Leadership Lessons from Mutiny on the Bounty

In honor of February and its traditional run up to the Oscars, in my podcast on business leadership, 12 O’Clock High, a podcast on business leadership, I am exploring leadership lessons from Oscar-winning Best Pictures. In...more

SEC’s Exam Deficiencies

The SEC recently released its findings relating to exams of investment advisers. In particular, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) found weak compliance programs; insufficient or late...more

Corporate Law & Governance Update - February 2017

THE #1 FIDUCIARY DUTY ISSUE OF 2017 - Positioning boards to exercise heightened engagement within the current “climate of uncertainty” is possibly the most important health system governance challenge of 2017. To...more

Alabama Ethics Commission Update

Last week, the Alabama Ethics Commission (the “Commission”) held its first of six scheduled meetings for the year. At the meeting, the Commission issued a new opinion addressing charitable solicitations and amended a...more

External Perception of Your Internal Culture Is a Big Deal: What Uber’s Problems Have Taught Us about Reputation

Ethics and compliance officers might often feel like your company’s corporate culture gets tied into knots, with so many groups imposing demands on your organization’s behavior. But really, a better turn of phrase here...more

The Test for Bad Actors in a Bad Company

Some business people are “bad,” meaning they engage in misconduct and either feel no remorse or rationalize why their conduct is acceptable. In a company that embraces bad acting, breaking rules or cutting corners, bad actors...more

IA Sanctioned Based On Risk Areas In OCIE Alert

The Commission’s inspection staff – OCIE – issued an Alert about its national inspection program earlier this week, highlighting risk areas for investment advisers. Any adviser facing an inspection would do well to review the...more

How to Nurture a Speak-Up Culture in the Era of Speak-Up Apps

If ethics & compliance officers ever needed one more reason to embrace a speak-up culture, here it is: thanks to modern technology, employees are already speaking among themselves more loudly than ever before....more

A Formal Introduction to the Five Generations of Employees in Your Workforce

An unprecedented change is happening in our workplaces. In many organizations, up to five generations are currently working together creating a situation that is both full of opportunities and challenges for E&C....more

SEC’s OCIE Issues Alert on Key Compliance Issues

A Risk Alert regarding its National Exam Program was issued by the SEC’s Office of Compliance Inspections and Examinations or OCIE. Drawing from its prior exam experience, OCIE identified five key areas of risk for investment...more

"President Trump Issues Executive Order Requiring Ethics Pledge"

On January 28, 2017, President Donald Trump signed an executive order titled “Ethics Commitments by Executive Branch Appointees” (the Order). This Order requires every full-time political appointee to sign an Ethics Pledge...more

Walking the Walk and Talking the Talk – A CEO’s Commitment to Ethics and Compliance

The phrase tone at the top is becoming trite. Compliance professionals use it over and over, and few people explain how to apply the concept. Speakers and webinar presenters always gloss over tone at the top, emphasizing...more

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