News & Analysis as of

DOJ’s New Compliance Expert Brings Private Practice Insights to the Role

DOJ’s new compliance expert brings private practice insights to the department. The Fraud Section of the Department of Justice (DOJ) announced earlier this month that it has hired Hui Chen as its “full-time compliance...more

Compliance 2.0 and Trends: Culture and Technology

Compliance has to continuously improve – as companies innovate, so do critical foundation functions like compliance. The forces of change on corporate governance and compliance were unleashed years ago. There is no way...more

Seven Essential Resources for Strengthening Your Code of Conduct

A powerful, relevant and engaging code of conduct can create a positive ripple effect across your organization. The opposite is also true: a code of conduct that is hard to find, difficult to read and disconnected with your...more

Turning the CEO Around: How to Make Sure the CEO Embraces Ethics and Compliance

Your CEO is either on board for compliance, or he/she is not. There is no half-way mark here, no way to deceive or soft-shoe your way through the compliance requirement....more

How Can I Make Sure My Compliance Training Program Covers All My Risks?

Building a compliance training program that covers all of your organization’s risks isn’t easy. To do it in a way that ensures you cover your bases without creating training fatigue means creating a multiyear training...more

CMS Proposes Rules Requiring LTC Facilities to Implement Compliance and Ethics Programs

Under proposed rules issued by the Centers for Medicare and Medicaid Services (CMS), long term care (LTC) facility operators would be required to develop, implement and maintain a comprehensive compliance and ethics program...more

EU Data Protection Ethics Advisory Board to be Established because “adherence to the law is not enough”, says EDPS

Giovanni Buttarelli, the European Data Protection Supervisor (“EDPS”), has announced plans to set up a new European Ethics Advisory Board to address the technological challenges of the 21st century in a world where there are...more

5 Unintended Consequences of Growth-Minded Companies: And What it Means for Compliance Departments

The vast majority of workers, managers, and company executives want to work for ethical organizations, and want to grow in responsible and sustainable ways. This is a given, and yet scandals like Volkswagen and Valeant...more

3 Major Mistakes Companies Make When Being Investigated: The SEC’s Steven Cohen on Do's and Don'ts During an Investigation

On Thursday, October 29th, a call was hosted by the Society of Corporate Compliance and Ethics (SCCE) with Steven Cohen, Associate Director of the Securities and Exchange Committee (SEC). For over an hour, Mr. Cohen spoke...more

Does Training + Code of Ethics = Culture of Ethics?

Complacency in compliance is a cancer on a company’s culture. Woody Allen said it best in Annie Hall: A [compliance program] relationship, I think, is like a shark. You know? It has to constantly move forward or it dies. And...more

Colorado Ethics Committee Issues New Guidance On The Use Of Social Media For Investigative Purposes

The Colorado Bar Association Ethics Committee recently clarified the ethical boundaries associated with attorney use of social media for litigation. Formal Opinion 127 (Opinion), issued in September 2015, addresses certain...more

Goldman Sachs Cheating Scandal: Lessons for Your Compliance Training Program

The recent Goldman Sachs and JPMorgan cheating scandals teach us some valuable lessons about compliance training. In these headline cases, newly hired junior analysts were caught cheating on internal compliance-related tests...more

Update on Texas Campaign Regulations

So-called dark money groups have sprung up since the U.S. Supreme Court issued its ruling in Citizens United. These groups are generally nonprofit corporations that raise and spend funds on campaign ads, but do so as a...more

Defining a Corporate Culture of Ethics and Compliance

Some things are easy to define by negative inferences. Corporate ethics or business ethics are not the same as legal ethics. Business ethics are not the same as our philosophy ethics – Aristotle and all of the classic...more

Celebrate Compliance Week 2015

November 1-7 is Compliance and Ethics Week. I wanted to give you some ideas on how you might use this week’s designation to help bring the message of compliance and ethics to your organization. An oft-raised topic is how to...more

Preview of NAVEX Global’s 2015 Ethics and Compliance Virtual Conference

As 2015 draws to a close (where did the time go?), the 2016 planning season is in full swing. You likely already have an idea of initiatives you’ll want to tackle, but taking your ethics and compliance program to the next...more

[Event] 2015 Ethics & Compliance Virtual Conference - Nov. 17th, Virtual

Don't miss the largest ethics & compliance industry event of the year! Brand New Topics & Sessions! * Hear nine engaging sessions—including our Keynote by Governor Thomas J. Ridge—and gain practical takeaways to...more

Reinvigorating Corporate Board Governance to Embed a Culture of Ethics and Compliance

“It is Time” – Rafiki, The Lion King Corporate scandals continue to rack up – I am not just blowing smoke on this fact. Corporate boards are under greater scrutiny but the hardest place to bring reform is the corporate...more

Got a Website? Tweet? Save Copies of Everything!

Did you know that, if you advertise your legal services on the Internet—and that includes having a firm website or using social media—you have to keep a copy of all the webpages for two years? Under Cal Rules of Prof...more

The Boss, the Hostess & the Invoice: A Compliance Dilemma

Today’s guest post is from Anthony Smith-Meyer, Editor-in-Chief, Business Compliance. Yesterday I was discussing motivation with my undergraduate class students. When you stop to consider this subject, you realise how...more

Fantasy Sports Scandal Shows Importance of E&C Programs for Growing Companies

A recent scandal rocking the daily sports fantasy industry is another example that shows why companies—particularly young, growing companies—need ethics and compliance programs. Without them, it’s a good bet problems will...more

A Holistic Approach to Third-Party Risk & Due Diligence

The following interview is with Leas Bachatene, CEO at ethiXbase. Hi Leas, thank you for participating in today’s Q and A. I have really enjoyed working with the ethiXbase team, including on our recent White Paper and...more

T.J. Simers Discrimination Trial: At Last, The “Ethical Breach”!

Last week, I mentioned that I still didn’t really understand what “ethical breach” Mr. Simers had allegedly committed, and I threw out a request for help from someone (anyone?) with a media background....more

The Ethics Advisor: The Proper Roles of Staff and Elected Officials

Most cities in California (an overwhelming 97 percent) operate under the “Council-Manager form of government,” under which the elected councilmembers directly hire and oversee one top-level employee (the city manager) to...more

Asking the Right Questions: How to Measure Corporate Culture

As a federal prosecutor with lots of trial experience, I generally know what questions to ask a witness or a defendant. In the compliance arena, there is much more leeway in how and what questions you ask....more

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