Ethics

News & Analysis as of

And the Academy Award for the Most Competent E-Discovery Counsel Goes To . . .

After all the jokes were told, the statuettes (both Lego and real) were handed out, and the speeches were made, one image stood out above the rest from this year’s Academy Awards: John Travolta clutching the chin of “Adele...more

FCPA Compliance and Ethics Report-Episode 135, Kevin Brady on the process of sales for the compliance practitioner [Video]

In this episode I visit with noted sales process expert Kevin Brady who discussed sales as a process and how the compliance practitioner can use these concepts in communicating the message of compliance to an employee base. ...more

South Carolina Legislative Update

The House of Representatives adopted several ethics reform measures (public meeting notice, Freedom of Information Act/public records, and public official reporting requirements) this week. In addition, the House Ways and...more

Supreme Court Confirms That Lawyers Cannot Act as Government Agents

In its recent decision in Canada (Attorney General) v. Federation of Law Societies of Canada, the Supreme Court of Canada (Court) held that the government cannot “turn lawyers into state agents”; it cannot require lawyers to...more

Ethical Issues Implicated by Lawyers’ Use of Third-Party Cloud Services

Law firms increasingly turn to “cloud services” for processing and storing confidential client information because of their greater flexibility and efficiency. Use of “the cloud,” however, outsources the administration,...more

The Time is Now for Every Company to Conduct Culture Audits

Companies and CCOs are starting to get the message – the best and most effective control against code and legal violations is a culture of ethics and compliance. Those are high-minded ideals for high-level executives....more

Inside the New York Budget Bill: 30-Day Amendments

On Friday, February 20, 2015, Governor Andrew Cuomo’s office released the 30-Day Amendments to the 2015–2016 New York State Executive Budget Legislation (Budget Bill). This year, instead of the usual set of corrections and...more

Avoiding Silos: Bringing Together the Key Compliance Players

One of my favorite SNL skits from years ago was John Belushi as Henry Kissing, singing “Getting to Know You” with his arms around Menachem Begin and Yasser Arafat – a true classic. The same can be said for the compliance...more

An “Effective” Compliance Program is Not a Perfect One

The golden ring for every chief compliance officer is an “effective” ethics and compliance program. But if you ask a CCO if the company’s compliance program is ”effective,” they will bow their heads and reluctantly admit,...more

Legal Ethics and Social Media: What Pre-Litigation Advice May an Attorney Provide to His or Her Client?

When meeting with your client about a matter that will likely result in litigation, what advice can you give your client about privacy settings and removal of information from social media in the pre-litigation setting? The...more

Attorney Withdrawal: Protect the Client, Obey the Court or Go to Jail? - California Formal Op. No. 2015-192 Addresses the Ethical...

In Formal Opinion No. 2015-192, the California State Bar Standing Committee on Professional Responsibility and Conduct addressed the difficult choices faced by lawyers who are ethically required to seek leave to withdraw from...more

Building a Culture-Changing E&C Program: Six Essentials

Compliance programs are effective only to the degree that they help build and support a strong organizational culture. So what does a strong corporate culture look like? And what ethics and compliance tools can help support...more

Future of Corporate Monitors

No company wants a corporate monitor. If you ask any General Counsel, Chief Compliance Officer or Chief Executive Officer, they can list an infinite number of alternative punishments they would rather suffer than have a...more

14 Ways To Make Your Employees Fall In Love With Your Code Of Conduct: Part One

We recently kicked off the year by hosting two ethics and compliance events in Charlotte and Nashville. Lori Tansey Martens, President and Founder of the International Business Ethics Institute, spoke to an exclusive group of...more

The Compliance Revolution and Improving Board Oversight

We all know there has been a sea change in the compliance profession. No longer are compliance professionals relegated to the backwater of corporate governance. Instead, they are now front and center and being asked to design...more

A Most Violent Year – Doing What is Most Right

It is rare to say but Hollywood occasionally can provide us with ethics and compliance lessons. My wife and I recently saw the movie, A Most Violent Year. It is worth seeing – not just for entertainment, but also for the...more

Ethical Obligations for Florida Attorneys: Advising Clients on Social Media - Rule 4-1.1 and Rule 4-3.4 Describe the Competency...

What ethical obligations does a Florida attorney have when advising a client to remove material from social media sites before litigation? Until recently, it was an open question; however, on Jan. 23, 2015, The Florida Bar’s...more

Proposed Florida Advisory Opinion Would Allow Attorneys to Advise Clients to Clean Up Social Media before Litigation Starts

On January 23, 2015, the Professional Ethics Committee of the Florida Bar issued Proposed Advisory Opinion 14-1, in which the Committee found that “a lawyer may advise the client pre-litigation to remove information from a...more

Double The Impact of Your Ethics and Compliance Program – Part Five of the Engaging Middle Managers Series

By now, you’re probably sold on the benefits of a liaison network. As we’ve learned from Jeff Piposar, Director and Executive Advisor for CEB Compliance & Ethics, a liaison network is an effective way to double the resources...more

The Roundup: This Week’s Recommended Reading (Jan 30, 2014)

From Around the Web - Why Do Entrepreneurs Take the Leap? If sudden wealth is not the likely outcome of starting a company, what motivates someone to take the risk? (Stanford Business)...more

Governance & Securities Law Focus: Europe Edition - January 2015

In this issue: - Directive Regarding Disclosure of Non-Financial and Diversity Information Published in Official Journal - ESMA Publishes Transparency Directive Consultation on European Electronic Access Point...more

Heightened Enforcement Efforts Focus on Financial Institutions’ ‘Culture of Compliance’

The first of a three-part series on the new landscape of anti-money laundering enforcement - During hearings conducted in 2012 by the U.S. Senate’s Permanent Subcommittee on Investigations, Senator Tom Coburn commented...more

Double the Impact of Your Ethics and Compliance Program – Part Four of the Engaging Middle Managers Series

Earlier this month, we had the pleasure of listening to Jeff Piposar, Director and Executive Advisor for CEB Compliance & Ethics, share how to multiply limited resources in our webinar, “Building A Scalable Compliance...more

Improving the Message of Ethics and Compliance

To succeed in life, you need two things: ignorance and confidence – Mark Twain - I have a problem with writers, columnists, consultants, bloggers and anyone else who puts a pen to paper (as we used to say) on ethics...more

2015 Trends: #10 Cybersecurity: A Risk that Needs to be on Your Ethics and Compliance To-Do List

The starting point for every ethics and compliance program must always be an analysis of the ethics and compliance risks faced by the organization. In that light, it’s important to listen to James Comey, Director, U.S....more

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