Ethics Compliance

News & Analysis as of

Creating a Valuable Training “Program”

We all know the scene but choose to ignore it – a senior employee or manager is taking an online training course and is talking on the phone, writing emails and basically ignoring the training session. Why? Because it has no...more

E&C Training: Signs of Progress, But Challenges Remain

Ethics and compliance training is taking many positive strides, with companies focused on building ethical cultures and preventing crises before they happen. But there’s still a distance to go, as well, amid persistent budget...more

Hallmark 3 – Oversight, Autonomy and Resources

I. Autonomy - The DOJ has made clear over the years the importance of this hallmark. In the FCPA Guidance it states, “In appraising a compliance program, DOJ and SEC also consider whether a company has assigned...more

Hallmark 2 – Code of Conduct and Compliance Policies and Procedures

The cornerstone of a Foreign Corrupt Practices Act (FCPA) compliance program is its written protocols. This includes a Code of Conduct, policies and procedures. In the FCPA Guidance, the Department of Justice (DOJ) and...more

Due Diligence Questions Chief Compliance Officers Should Ask In A Job Interview

The following guest post is by Maurice Gilbert, Managing Partner of Conselium Executive Search. Earlier this month I posed a question to Chief Compliance Officers around the world: “Since today’s regulatory climate means...more

5 Things Compliance Executives Need their Boards to Know

Boards of directors (or their delegated committees) typically allocate very little time to oversight of an organization’s ethics and compliance program during their packed board agendas. It is not at all unusual for the top...more

Compliance is a Business

Compliance is a business. That statement should not come as a shock or even a surprise to anyone who has worked in the corporate world. Every part of a business should work towards doing business. Yet many compliance...more

How Ricoh USA, Inc. Reaped the Benefits of Expanded Hotline Reporting

Today's post features guest author Jami Segota, Vice President & Assistant General Counsel, Employment Law from Ricoh USA, Inc. Learn how Ricoh turned their ethics and compliance program into a powerful cross-departmental...more

6 Organisational Culture Warning Signs You Can’t Afford to Ignore

In a new white paper, Robert Smith, Director, Compliance & Ethics, Serco Group Plc shares a detailed account of the organisation’s journey from scandal back to cultural health—and lessons any organisation can learn from their...more

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

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

My Organization's Code of Conduct is Good - How Can I Make It Great?

Too long. Too complicated. Too dense. Sound familiar? If your code of conduct isn’t a document you’re proud to share with your employees, customers, board and C-suite—or if your organization has recently had a big change...more

Rodriguez ‘Retires’ – Lessons for the Compliance Practitioner

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

Defining the Compliance Mission – More Than Just Preventing Violations

I am not one to beg but I have decided I have nothing to lose here – please, when it comes to compliance, everyone has to adopt a new mantra. The purpose of compliance is not to prevent legal and code of conduct violations....more

As National Whistleblower Day Approaches, It’s Time to Reconsider the Term “Whistleblower”

July 30 marks the 238th anniversary of passage of the first congressional protections for whistleblowers in the United States. As they have done in recent years, officials in Washington, D.C., will celebrate the anniversary...more

Shareholders Will Get to Trial in Petrobras Corruption Scandal Action

Yesterday I wrote about what may well be the next great bribery and corruption scandal across the globe involving the Venezuelan state oil company Petroleos de Venezuela SA (PDVSA). However, the current largest corruption...more

Preview of NAVEX Global’s 2016 Ethics & Compliance Training Benchmark Survey Findings

In recent years, ethics and compliance training programs have become part of the fabric most of the world’s successful organizations. With that in mind, our third Benchmark Training Report, set for release on July 27, seeks...more

Building a Company Culture of Trust

The messaging behind the need for companies to implement robust compliance programs continues to suffer from a narrow conception of the overall compliance function. It is easy to get lost in the weeds on compliance programs...more

9 Ways Brexit May Affect UK Compliance Regulations

After the UK’s momentous vote to leave the European Union, the country faces two years of exit negotiations and the re-drawing of regulations. So what might Brexit mean for ethics and compliance in the UK?...more

A Brave New World for Compliance Professionals

In the past, a compliance professional’s role was somewhat limited to ensuring the organization complied with the laws and regulations that govern it. Today, that role has expanded exponentially. Compliance executives...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

Harassment Still a Big Problem at U.S. Employers, New EEOC Report Finds

In a new report from the Equal Employment Opportunity Commission, the authors note that they were “deeply troubled” by the persistence of workplace harassment.    According to the workplace harassment statistics cited in the...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

Survey Says: Top Three Policy Management Challenges

Using data from our survey of over 1,000 respondents located all over the globe, we produced our 2016 Ethics & Compliance Policy Management Benchmark Report and webinar in May. During the webinar, Carrie Penman and I talked...more

Compliance Meaningfulness: Hard to Achieve, Easy to Destroy

In an article titled, What Makes Work Meaningful- Or Meaningless by Catherine Bailey and Adrian Madden (MIT Sloan Management Review, Summer 2016), the authors focus upon what makes our work meaningful, with research...more

Compliance Training – Part IV: the Gamification of Compliance Training

I conclude my four-part series on ethics and compliance training today by looking where effective training is going. One of the criticisms leveled by L. V. Anderson, in her Slate article, entitled “Ethics Trainings Are Even...more

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