Ethics Compliance

News & Analysis as of

The New FCA Whistleblower Rules: What You Need to Know

In October 2015 the Financial Conduct Authority (FCA), alongside the Prudential Regulation Authority (PRA), published new rules in relation to whistleblowing channels in banks and other financial institutions to encourage a...more

Finding “Compliance” Religion

One of the more cynical “commitments” to compliance occurs when a company embraces compliance for the first time in response to a government investigation.  I call this  — finding “compliance” religion. When a company is...more

5 Ways Training on Your Compliance Policies Can Protect Your Organization

We write a lot about the importance of creating, implementing and managing the right policies. But implementation is only half the battle. If you don’t give your employees thorough, effective and regular training on them, you...more

[Event] Tech Talk: Best Practices for Compliance & Ethics Leadership: Strategy, Data and Cultural Performance - April 27th,...

Please join us on April 27, for an afternoon with ethics & compliance executives from leading companies, assembled to share in an interactive dialogue on cutting-edge data, case studies, and new approaches to company culture...more

Key Findings from NAVEX Global's Third Party Risk Management Benchmark Report

Vendor risk management and, in particular, third party risk management has become one of the toughest issues companies face—especially after a string of high-profile compliance failures in recent years. The majority of...more

Your Company’s Compliance Program is Finished – April Fool's

Happy April Fool’s Day! Could you ever imagine coming to work one day and realizing that you have “finished” your ethics and compliance program? There is nothing left to do. You can go home. Ohhhh, if only it was so....more

Practical Management of Your Company’s Culture

I attended the SCCE’s recent Utilities and Energy Compliance conference in Houston. It is always a great meeting with terrific speakers and content. I was fortunate to attend a session, Taking the Pulse of Corporate...more

Creating an Ethical Culture and “Outside” Influences

Forgive me for taking a step back to address an important challenge in creating a culture of compliance. I know this may sound obvious but in today’s “toxic” political environment it is important to point out some factors...more

A Lesson in Compliance: Part I

You’ve been quite candid with your followers and readers about your compliance violations and subsequent jail term. One of your blog posts addressed the stark reality you experienced when you first found yourself sitting in a...more

Top Ten Ethics & Compliance Predictions & Recommendations for 2016

To help with our predictions and recommendations, we’ve talked with industry experts, our colleagues at NAVEX Global, and ethics and compliance professionals from our more than 12,500 client organizations. Based on their...more

2016 Trends #10: Expanding the Scope of E&C: Is This the Year for Pushing Boundaries and Increasing Authority?

In recent years, questions have been raised—both in the industry and by employees and leadership teams in organizations—about whether the scope of our ethics and compliance programs have become too narrowly focused. Cyber...more

NAVEX Global’s 2015 Europe, Middle East, Africa and Asia Pacific State of Compliance Programmes Benchmark Report

In 2015, NAVEX Global partnered with an independent research agency to survey ethics and compliance professionals with responsibility for administering training across their organizations. The goal was to determine their top...more

Good-Bye to Captain Hocken and Scaling Up Your Compliance Program

George Kennedy died this week. He was one of the few actors who went from playing tough guys to being a hit in comedies. According to his obituary in the New York Times (NYT), Kennedy played “vicious killers, bumbling lawmen,...more

Refining the Case Management Process: Case management is easiest when you think of the process as having three stages

Once a report is filed, efficiency is the name of the game. The compliance baton is passed from the reporting channels where a report is received to managing the case. It’s easiest when you take the case and map it out...more

2015 Ethics & Compliance Third Party Risk Management Benchmark Report

Organizations are still coming to terms with the breadth and depth of their third party risk. An effective third party risk management program is in the interest of all organization —regardless of their size, industry, and...more

Zenefits CEO bows out amidst compliance allegations - Parker Conrad leaves the company he co-founded after reports revealed...

The newswire has been buzzing lately with several articles highlighting the importance of compliance, culminating with the recent announcement that Parker Conrad, CEO of Zenefits, an online HR software startup, resigned on...more

A Teaching Moment Inside VimpelCom’s Boardroom

The VimpelCom FCPA settlement underscored the importance of Compliance 2.0 and the need to reform board deliberations and governance. No one can read the facts without shaking their heads and asking – what was the VimpelCom...more

Hot off the press: compliance strategy and performance report - Let’s discuss ways to improve your compliance program using...

It’s easy to be overwhelmed by the amount of information in our industry from various white papers and studies, to research findings and analysis. After speaking with hundreds of compliance leaders around the world,...more

The Must-Have Compliance Benchmarking Report is Here: Convercent, in partnership with The Ethisphere Institute, examines the...

Our new report will help you keep pace with evolving expectations and emerging best practices in the compliance industry. We invite you to use the comprehensive findings to benchmark your 2016 compliance strategy, and see how...more

2016 Trends #9: Cynicism, Fatigue and Compliance Pushback—A Problem We Can No Longer Ignore

You may have already seen the signs of employee cynicism, fatigue or compliance pushback at your organization. Its presence is often indicated by little things. Over the years, some of these signs have become so common we’ve...more

Is There an Internal Ethics & Compliance Council In Us All?

The following guest post and video is by Nicole Rose, CEO and Founder, Create Training. We all know about ‘the law’, but how about the laws within us that direct our behavior and decisions? Marc Hauser, evolutionary...more

2016 Trends #8: Getting Serious About Anti-Bribery & Corruption Efforts and Third-Party Risk Management

By now, most organizations understand the importance of identifying and addressing any exposure they have to violations of anti-corruption and bribery (ABC) laws. Much attention has been given to recent cases, and to...more

FINRA Issues Sweep Letter on Firm’s Cultural Values

On February 18, 2016, Financial Industry Regulatory Authority (FINRA) announced that it had issued a targeted exam letter, or sweep, to firms seeking information about how firms establish, communicate and implement cultural...more

Preview NAVEX Global’s New EMEA & APAC Ethics & Compliance Benchmark Report Findings

How how are organisations in Europe, the Middle East, Africa (EMEA) and Asia Pacific (APAC) developing and executing ethics and compliance programmes? In our latest benchmark report, nearly 250 ethics and compliance...more

Greatest Live Album of All-time and Fostering a Culture of Compliance

On the 14th February 1970 The Who recorded what I consider to be the best, or at the very least my favorite, live album of all-time. They recorded their concert at the University of Leeds and the resulting album was named The...more

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