Ethics Compliance

News & Analysis as of

The CECO’s Role in Recovery From An Organizational Ethics Breach

A major organizational ethics breach – something every Chief Ethics and Compliance Officer (CECO) desperately wants to avoid – has catastrophic potential. What should the CECO do in preparation for a breach? What does the...more

Q&A: Pat Harned, Ph.D. on Ethics and Compliance

In this post, CREATe’s CEO Pamela Passman talks with Patricia Harned, chief executive officer of the Ethics & Compliance Initiative (ECI). ECI empowers its members in the ethics and compliance community to operate at the...more

Embracing the Peter Pan Generation: How is Your Company’s Check-the-Box E&C Program Deterring Their Early-Adoption Attitude for...

It is likely that the newest, hippest, most social and optimistic generation in history is now making up a large portion of your workforce. Yes, I’m talking about the 80 million kids who grew up in the ’80s and ’90s that are...more

Hiring In Compliance, Part II – Candidate Sourcing

This week I am presenting a series on hiring in the compliance industry based on interviews I did with Maurice Gilbert, the Managing Partner at Conselium Partners LP. These interviews will be broadcasted on my podcast site,...more

Recovering from an Ethics Breach | 5 Steps the CECO Should Take to Rebuild (Part 2)

An ethics breach can be difficult to bounce back from, but is much less so when Chief Ethics and Compliance Officers (CECOs) have taken the time to establish relationships and put a worst-case-scenario plan on paper before a...more

Five Lessons Ethics & Compliance Professionals Can Learn from the World of Sports

Despite the FIFA scandal and other not-so-great news from the world of professional sports recently, it’s good to remember that sports, at their best, can be a rich source of strategies and inspiration for the business...more

DOJ’s Warning to High-Tech Companies: SAP Official Pleads Guilty To FCPA Violation

When DOJ acts, they like to make a splash. While the FCPA Paparazzi have been lamenting the “slow down” in FCPA enforcement actions and the increase in case closings, DOJ still makes its mark when it acts, and I expect more...more

Best Practice Internal Controls For Reducing Fraud And Corruption Risk

Fraud and corruption risk are inevitable, yet every company should strive to reduce these risks. For Compliance Week, Jeffrey Harfenist (BDO Consulting, Global Forensics), Stephanie Giammarco (BDO Consulting, Forensic...more

Give & Take: The Case for a Better G&E Compliance Program

Part One: Setting The Foundation - Why Does G&E Matter? Tony Robbins once said, “Every problem is a gift—without problems we would not grow.” In the compliance arena, the reverse also applies, as many gifts can...more

Recovering from an Ethics Breach | 5 Steps the CECO Should Take to Rebuild (Part 1)

The role of the Chief Ethics and Compliance Officer (CECO) is constantly evolving, especially as ethics and compliance become increasingly essential. Most can agree that the majority of CECOs’ work focuses on prevention, but...more

Top Ten Resources for Engaging Your Board in Your Ethics & Compliance Program

Resources to help you engage your board of directors in the success of your ethics and compliance program. A successful board engagement strategy can help ethics and compliance professionals gain significant program...more

The Danger of Compliance Overkill

Government prosecutors spend time promoting enforcement programs and encouraging companies to design and implement effective ethics and compliance programs. The blogosphere is filled with articles, surveys, studies, warnings,...more

Meaningful Measurement of the Effectiveness of an Ethics and Compliance Program

Talk is cheap, especially when it comes to ethics and compliance programs. Words are easy but action and commitment is even harder. The compliance industry needs to put more meat on the bones of compliance. It is not enough...more

Creating an Engaging Global Code of Ethics: Transcending Cultural Differences

Creating an engaging Code of Ethics can be tricky in your home country – creating a global code that transcends cultural differences is no easy task. Unfortunately, far too many companies brush off its importance. In this...more

Meaningful Measurement of the Effectiveness of an Ethics and Compliance Program

Talk is cheap, especially when it comes to ethics and compliance programs. Words are easy but action and commitment is even harder. The compliance industry needs to put more meat on the bones of compliance. It is not enough...more

You Cannot Buy an Ethical Corporate Culture

I do not mean to be facetious or snarky, but I am concerned about organizations that sell or promote their ability to certify or give a seal of approval to a company as an “ethical” company.  Even more troubling (or perhaps...more

Ethics & Compliance Training: 2015 Benchmark Report

NAVEX Global’s Ethics & Compliance Training Benchmark Report covers benchmarks such as budget size, FTEs, training topics and formats—as well as top training trends, challenges and more— to help you: · Evaluate the...more

SummerReading List: 4 Books Worth Adding to Your Library - A Few Good Reads to Help You Understand the Mind of Your Consumer When...

In a previous life, I worked as an advertising copywriter. Aside from being paid to write (which was cool), I spent my days trying to understand the motivations that drove a consumer to buy what they bought (which was really...more

The Time is Now to Amend the US Sentencing Guidelines on Corporate Ethics and Compliance Programs

We all know the importance of the sentencing guidelines and the impact the revisions, especially the 2010 amendments, have had on corporate governance and compliance. The history behind the sentencing guidelines tracks the...more

DOJ Hires Compliance Counsel to Assist in Charging Decisions

New Compliance Counsel Will Assess Effectiveness of Corporate Compliance Programs - Last week the U.S. Department of Justice (DOJ) revealed it is hiring a compliance counsel to assist DOJ prosecutors in assessing the...more

SEC Issues Settled Enforcement Action Against Investment Adviser, its President and Senior Officers for Compliance Program...

The U.S. Securities and Exchange Commission (SEC or Commission) issued a cease and desist order (Order) on June 23, 2015, against Pekin Singer Strauss Asset Management Inc. (Adviser), an investment adviser registered under...more

DOJ’s Disdain for “Paper” Compliance Programs

As we come to the close of the Obama Administration, the Justice Department will certainly be able to point to its record of aggressive white-collar enforcement in a variety of areas. One glaring claim omission from that list...more

[Webinar] Response and Recovery Planning: Corporate Ethics and Compliance Failure - August 11, 1:00pm Central

Most companies have a plan for disaster recovery related to technology, physical location, and data – but what happens when you must respond to allegations of a violation of customer trust or compliance? Does your...more

Impending Deadline: CMS Issues Proposed Rule Reform for Long Term Care Facilities – Part 3 of 4

On July 16, 2015, the Federal Register published Centers for Medicare and Medicaid Services’ (CMS) proposed rule to reform the requirements for Long Term Care Facilities participating in Medicare and Medicaid. CMS will be...more

Ethics & Compliance Training Best Practice FAQs: Top Five Questions from the Training Benchmark Webinar Answered

During our recent webinar (now available on-demand), we provided an in-depth tour through the findings of our 2015 Ethics & Compliance Training Benchmark Report. Webinar attendees asked a number of valuable questions on...more

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