News & Analysis as of

Ethics Anti-Corruption

FCPA Risks and Acquisition Integration Challenges

by Michael Volkov on

Chief compliance officers have devoted significant efforts to conducting pre-acquisition due diligence of a proposed target companies. I do not intend to diminish the importance of pre-acquisition due diligence, but I have...more

Incorporating Employee Storytelling into Your Compliance Marketing

by Thomas Fox on

As you might suppose I read quite a bit. One of the pleasures I receive each month is when the copy of the MIT Sloan Management Review arrives. I also find the articles highly topical and present ways to consider new...more

Day 3 of One Month to Better Investigations and Reporting-the Investigation Protocol

by Thomas Fox on

Your company should have a detailed written procedure for handling any complaint or allegation of bribery or corruption, regardless of the means through which it is communicated. The mechanism could include the internal...more

The Trump Administration: The Business Impact

by Thomas Fox on

If we do not speak up, there may not be an opportunity later. ...more

Day 8 of One Month to Better Compliance Through HR-Using Compensation to Operationalize Compliance

by Thomas Fox on

One of the areas that many companies have not paid as much attention to in their Foreign Corrupt Practices Act (FCPA) anti-corruption compliance programs is compensation. However the Department of Justice (DOJ) and Securities...more

2017 EMEA & APAC Culture and Compliance Benchmark Report - Data And Insights To Put To Work In Your Programme Today

by NAVEX Global on

NAVEX Global partnered with an independent research agency to investigate how companies headquartered across Europe, Middle East and Africa (EMEA) and Asia Pacific (APAC) develop and execute their ethics and compliance (E&C)...more

Insight from the DOJ Fraud Section

by Robins Kaplan LLP on

Without fanfare, on February 8 the Fraud Section of the Department of Justice (DOJ) published new corporate compliance guidance on its public website. The guidance is presented as a set of topics and questions, entitled...more

Yikes: The Perils of Remediation and Corporate Monitors

by Michael Volkov on

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

Effective Ethics and Compliance Training

by Thomas Fox on

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

ISO 37001: Let’s Talk Specifics

by NAVEX Global on

Some, though certainly not all, of the dust has settled since ISO 37001 published last fall. As compliance professionals grapple with the new standard, we thought it would be interesting to use the power of social media to...more

Focus On Enabling Your People, Not Controlling Them, To Create an Effective Compliance Culture

by JD Supra Perspectives on

When employees of all levels believe in and support policies and standards, that’s when you see real compliance. In-house perspective from NetApp GC, Matt Fawcett....more

New Compliance Regulations for France and Italy Demonstrate the Growing Convergence of Anti-Corruption and Whistleblowing...

by NAVEX Global on

A piece of major compliance legislation has just been passed in Europe: the long-awaited French anti-corruption and whistleblower protection law, Sapin II, which brings French anti-corruption standards in line with those of...more

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

by NAVEX Global on

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

Corporate Corruption, Culture and Compliance (Part II)

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

Corporate Corruption, Culture and Compliance (Part I)

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

[Webinar] 2016 Ethics & Compliance Virtual Conference - Harnessing the Business Value of an Ethical Culture - November 15th,...

by NAVEX Global on

Join professionals in ethics and compliance, human resources, legal, audit and training for the annual 2016 Ethics & Compliance Virtual Conference! Learn strategies to help you build a better governed, more risk-aware, and...more

Match Made in Heaven: Compliance and Human Resources

by Michael Volkov on

The corporate compliance function is only as successful as its partnerships with key internal constituencies. Depending on the company and the personnel involved, compliance has to establish and maintain effective working...more

Wells Fargo Week: Part V – Compliance is the Answer

by Thomas Fox on

I want to end this week’s review of the Wells Fargo scandal by considering what is at issue and what is at stake in this imbroglio. Unlike a Foreign Corrupt Practices Act (FCPA) violation, Wells Fargo paid the relatively...more

Ethics and Incentive Compensation: A Ticking Time Bomb

In a recent Wall Street Journal article, it was reported that “some drug-industry watchers say Mylan’s incentives may have played a role in its steep price increases for the EpiPen.” The article addressed one-time awards for...more

Why Working in Compliance is so Meaningful to Me

by Thomas Fox on

I began this week talking about passion in the compliance profession and then explored why employees viewed their work as meaningful, how companies could negate those views and then what leaders could do to facilitate making...more

Will incentive time bombs blow up your company?

Marc Hodak, an NYU Adjunct Professor and compensation consultant, spoke at the Ethical Systems event in New York a few months ago. He talked about “incentive time bombs,” where “bad behavior can hide behind good performance,”...more

Train Your Board and C-Suite Now – The Under-Education of Corporate Leadership

by Michael Volkov on

The next time we read about a train wreck of corporate malfeasance – be it in the anti-corruption, money laundering, financial reporting or any other space you can think of – please do not shrug your shoulders and shake your...more

Rodriguez ‘Retires’ – Lessons for the Compliance Practitioner

by Thomas Fox on

Alex Rodriguez announced his retirement from baseball, effective Friday, August 12. In a New York Times (NYT) article he said, “Saying goodbye may be the hardest part of the job,” “But that’s what I’m doing today. As far as...more

An Organizational Response to Global Compliance Challenges

The following is part II of a guest post by Alison Taylor and James Cohen. A consensus has emerged as to what an effective anti-corruption compliance program looks like – its components and success factors. At the same...more

Global Trends and Business Ethics

The following is part one of a two-part guest post by Alison Taylor and James Cohen. 2016 is only half-complete, but it’s already been a pivotal year in ethics and compliance. The Panama Papers and Unaoil data leaks...more

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