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Ethics Internal Investigations Dodd-Frank Wall Street Reform and Consumer Protection Act

Thomas Fox - Compliance Evangelist

Why the Board of Directors Need an Investigation Protocol

Many companies have an investigation protocol in place when a potential compliance or other legal issue arises. However, many Boards of Directors do not have the same rigor when it comes to an investigation, which should be...more

Thomas Fox - Compliance Evangelist

Advantages of a Whistleblower Reporting System

I recently interviewed Dr. Kyle Welch, Assistant Professor at George Washington University (GWU), on his recently released paper, co-authored with Stephen Stubben, Associate Professor from The University of Utah, entitled...more

Thomas Fox - Compliance Evangelist

Investigation Challenges

Today I conclude my three-part series on internal investigations with Jonathan Marks, a partner at Marcum LLP and a well-known internal investigation expert, by considering some of the challenges you may well face during an...more

Thomas Fox - Compliance Evangelist

Hallmark 8-Confidential Reporting and Internal Investigations

The FCPA Guidance has about as clear, concise and short a statement about hotlines than any other Tenet of an Effective Compliance Program. It states, “An effective compliance program should include a mechanism for an...more

NAVEX

Do Your Confidentiality and Employment Agreements Violate SEC Whistleblower Protection Rules?

NAVEX on

As the SEC takes aim at whistleblower “pretaliation” (attempts to muzzle whistleblowers via confidentiality and other employment agreements—overt or otherwise) ethics and compliance officers need to take practical steps to...more

Thomas Fox - Compliance Evangelist

How Does Your Organization Treat Whistleblowers?

As almost everyone knows, Lance Armstrong spoke for the first time about his performance enhancing drug (PED) use recently on Oprah. On the first night he admitted for the first time that he used PEDs during his seven wins at...more

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