Ethics

News & Analysis as of

Conscience Clauses for Health Care Providers

There has been a lot of news lately about a person’s right to decline to provide a service to another for reasons of conscience. For example, after the U.S. Supreme Court decision regarding marriage equality, the N.C....more

Recovering from an Ethics Breach | 5 Steps the CECO Should Take to Rebuild (Part 2)

An ethics breach can be difficult to bounce back from, but is much less so when Chief Ethics and Compliance Officers (CECOs) have taken the time to establish relationships and put a worst-case-scenario plan on paper before a...more

Five Lessons Ethics & Compliance Professionals Can Learn from the World of Sports

Despite the FIFA scandal and other not-so-great news from the world of professional sports recently, it’s good to remember that sports, at their best, can be a rich source of strategies and inspiration for the business...more

DOJ’s Warning to High-Tech Companies: SAP Official Pleads Guilty To FCPA Violation

When DOJ acts, they like to make a splash. While the FCPA Paparazzi have been lamenting the “slow down” in FCPA enforcement actions and the increase in case closings, DOJ still makes its mark when it acts, and I expect more...more

Best Practice Internal Controls For Reducing Fraud And Corruption Risk

Fraud and corruption risk are inevitable, yet every company should strive to reduce these risks. For Compliance Week, Jeffrey Harfenist (BDO Consulting, Global Forensics), Stephanie Giammarco (BDO Consulting, Forensic...more

Give & Take: The Case for a Better G&E Compliance Program

Part One: Setting The Foundation - Why Does G&E Matter? Tony Robbins once said, “Every problem is a gift—without problems we would not grow.” In the compliance arena, the reverse also applies, as many gifts can...more

Recovering from an Ethics Breach | 5 Steps the CECO Should Take to Rebuild (Part 1)

The role of the Chief Ethics and Compliance Officer (CECO) is constantly evolving, especially as ethics and compliance become increasingly essential. Most can agree that the majority of CECOs’ work focuses on prevention, but...more

Middle Market Company Focus: Avoiding Emails that Hurt or Embarrass Your Company

Email communication is vital to just about every business. But in-house counsel know that what employees write in an email can come back to haunt their company. Womble Carlyle attorney Meredith McKee and Carolinas...more

[Webinar] Anti-Corruption and Third Parties: Examining Third Party Pitfalls and Best Practices - Sept. 9th, 9:00am PDT

Is your company doing enough to ensure anti-corruption compliance among third parties? As the complexity of value chains continues to increase, companies are under a similarly increasing pressure to manage the risks...more

Top Ten Resources for Engaging Your Board in Your Ethics & Compliance Program

Resources to help you engage your board of directors in the success of your ethics and compliance program. A successful board engagement strategy can help ethics and compliance professionals gain significant program...more

The Danger of Compliance Overkill

Government prosecutors spend time promoting enforcement programs and encouraging companies to design and implement effective ethics and compliance programs. The blogosphere is filled with articles, surveys, studies, warnings,...more

Meaningful Measurement of the Effectiveness of an Ethics and Compliance Program

Talk is cheap, especially when it comes to ethics and compliance programs. Words are easy but action and commitment is even harder. The compliance industry needs to put more meat on the bones of compliance. It is not enough...more

Creating an Engaging Global Code of Ethics: Transcending Cultural Differences

Creating an engaging Code of Ethics can be tricky in your home country – creating a global code that transcends cultural differences is no easy task. Unfortunately, far too many companies brush off its importance. In this...more

Meaningful Measurement of the Effectiveness of an Ethics and Compliance Program

Talk is cheap, especially when it comes to ethics and compliance programs. Words are easy but action and commitment is even harder. The compliance industry needs to put more meat on the bones of compliance. It is not enough...more

You Cannot Buy an Ethical Corporate Culture

I do not mean to be facetious or snarky, but I am concerned about organizations that sell or promote their ability to certify or give a seal of approval to a company as an “ethical” company.  Even more troubling (or perhaps...more

Does The Ratio Of CEO To Employee Pay Matter?

The SEC recently voted to require employers to disclose the pay gap between the CEO and his or her employees. Unions, investors, and other groups have increasingly been using this disparity to attack companies. As Fortune...more

Ethics & Compliance Training: 2015 Benchmark Report

NAVEX Global’s Ethics & Compliance Training Benchmark Report covers benchmarks such as budget size, FTEs, training topics and formats—as well as top training trends, challenges and more— to help you: · Evaluate the...more

SummerReading List: 4 Books Worth Adding to Your Library - A Few Good Reads to Help You Understand the Mind of Your Consumer When...

In a previous life, I worked as an advertising copywriter. Aside from being paid to write (which was cool), I spent my days trying to understand the motivations that drove a consumer to buy what they bought (which was really...more

SEC Fines Adviser $20 Million Based on Conflicts

Failure to disclose conflicts of interest and/or to comply with firm procedures are the predicates for a series of SEC enforcement actions involving regulated entities. The most recent example of these trends is an action...more

The Time is Now to Amend the US Sentencing Guidelines on Corporate Ethics and Compliance Programs

We all know the importance of the sentencing guidelines and the impact the revisions, especially the 2010 amendments, have had on corporate governance and compliance. The history behind the sentencing guidelines tracks the...more

DOJ Hires Compliance Counsel to Assist in Charging Decisions

New Compliance Counsel Will Assess Effectiveness of Corporate Compliance Programs - Last week the U.S. Department of Justice (DOJ) revealed it is hiring a compliance counsel to assist DOJ prosecutors in assessing the...more

SEC Issues Settled Enforcement Action Against Investment Adviser, its President and Senior Officers for Compliance Program...

The U.S. Securities and Exchange Commission (SEC or Commission) issued a cease and desist order (Order) on June 23, 2015, against Pekin Singer Strauss Asset Management Inc. (Adviser), an investment adviser registered under...more

DOJ’s Disdain for “Paper” Compliance Programs

As we come to the close of the Obama Administration, the Justice Department will certainly be able to point to its record of aggressive white-collar enforcement in a variety of areas. One glaring claim omission from that list...more

[Webinar] Response and Recovery Planning: Corporate Ethics and Compliance Failure - August 11, 1:00pm Central

Most companies have a plan for disaster recovery related to technology, physical location, and data – but what happens when you must respond to allegations of a violation of customer trust or compliance? Does your...more

Impending Deadline: CMS Issues Proposed Rule Reform for Long Term Care Facilities – Part 3 of 4

On July 16, 2015, the Federal Register published Centers for Medicare and Medicaid Services’ (CMS) proposed rule to reform the requirements for Long Term Care Facilities participating in Medicare and Medicaid. CMS will be...more

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