News & Analysis as of

Ethics and Simplicity

Groucho Marx was (and is) my hero. No one else had a sharper wit. One of my favorite scenes was in Duck Soup when Groucho conducts a meeting as the President of Fredonia. In particular, when Groucho is given a report...more

T.J. Simers Discrimination Trial: Are You Paranoid If They Really ARE Out To Get You?

A psychologist retained by the Times testified this week that Mr. Simers scored “very high” for paranoia on the Minnesota Multiphasic Personality Inventory. His test results showed that he was “overly sensitive to criticism,”...more

Third Circuit Applies Constructive Knowledge Standard And Finds Waiver Of Arbitration Panel Challenge

The U.S. Court of Appeals for the Third Circuit has found that post-award objections to an arbitrator were waived because the party had constructive knowledge of the arbitrator’s insufficient disclosure. The court held that a...more

5 Success Factors in Cutting-Edge Compliance: Compliance Becomes King When These Elements Are Integrated Into Day-to-Day...

Technology is doing more than bringing compliance fully into the digital age. It’s also initiating a revolution that is putting compliance and ethics at the forefront of how business is run, creating far greater operational...more

Highlights from the Tenth CEO/Innovators Roundtable: June 4 – 5, 2015

This past June, leaders from health systems, outpatient services companies, health insurers, IT and equipment suppliers, health retailers, home care providers, pharmaceutical companies, and investors gathered in Chicago for...more

Five Ways to Ensure Board Support for Compliance

A Chief Compliance Officer has a number of important relationships to maintain in an organization. Aside from the support of senior level executives, the CCO has to build an effective working relationship with the board and...more

Compliance Fatigue — A Dangerous Concept

I have a lot of pet peeves, especially when it comes to lawyers and compliance professionals. Do not worry this is a not a column about all of my pet peeves; I would never bore you with all those issues....more

Whistleblowing, VW’s Silence, and the Behavioural All Stars

This guest post is by Wendy Addison, Founder and Owner of SpeakOut SpeakUp Ltd. On the 2nd and 3rd of Sept 2015, I attended The International Behavioural Insights Conference in London. Hosted by the UK government’s ‘Nudge...more

CMS Issues Proposed Rule Significantly Modifying the Requirements for Long-Term Care Facilities Participating in the Medicare and...

On July 16, 2015, the Centers for Medicare & Medicaid Services (“CMS”) published a proposed rule comprehensively updating and extensively revising the requirements for participation for long term care (“LTC”) facilities...more

TN Ethics Opinion Approves Lawyers’ Cloud Storage of Client Data

Tennessee has joined other states in formally approving lawyers’ cloud-storage of client-confidential data. The Board of Professional Responsibility (“BOPR”) held that lawyers ethically may use cloud storage for...more

Lucky You: Workplace Gambling Webinar Set for October 20th

My New York Football Giants are 0-2 so far this year. It’s been ugly. But all is not lost for me. Why? My fantasy football team — the Hartford Hotspurs (with a wink to my favorite soccer team, the Tottenham Hotspurs) —...more

Despite Criticism, DOJ’s New Policy On Internal Investigations Could Be a Good Thing

While naysayers believe the Department Of Justice's (DOJ’s) memo is going to result in major complications and headaches for companies experiencing government investigations, ethical companies are unlikely to be affected much...more

DOJ Targets Executives and Individuals in Corporate Investigations

Responding to criticism stemming from a lack of individual prosecutions as a result of the financial crisis, Deputy Attorney General Sally Yates has issued a new guidance memorandum establishing six new steps for federal...more

The Defeat Device: Compliance and Ethics in the Auto Industry

Things are seriously bad when one of the world’s most respected business focused publications, the Financial Times (FT), asks if the auto “industry faces ‘Libor moment’”? Yet that was a headline yesterday in the lead article...more

Cleaning Up a Compliance Program Mess

You have just been hired as the new Chief Compliance Officer of a global company operating in over 80 countries, including numerous high-risk corruption countries. You have no staff and have been given a budget to hire 5...more

That is SO last week - September 2015 #3

Last week, The New York Times reported that men “feel entitled to take time off for family” too. The subject of the article was Josh Levs, a former CNN reporter who wanted more time off when his third child was born...more

Ethical Business Decision-Making

An effective ethics and compliance program, by definition, translates into ethical business decisions. Believe it or not, to bring ethics into the equation you do not need to be a philosopher, historian or professional...more

The Keys to a Successful International Compliance Hotline: And the Hidden Potential It Hides

If you are creating or expanding your call center internationally, or already have one, you have the potential to organize the data coming in ways that can change a company’s direction and impact its bottom line....more

Thinking Big about Data – the new EDPS Ethics Board

Giovanni Buttarelli, the European Data Protection Supervisor (EDPS), recently announced the formation of a new external Ethics Board that will do a deep dive into the complex ethical issues that surround the use of personal...more

Two Essential Requirements for Tone At the Top

Everyone likes to give advice on the importance of tone at the top. Like many things in life, it is easy to talk about but much more difficult to implement. There are lots of ways to describe or analyze the same issue....more

The Ethics Advisor: The California Public Official’s Quick and Clean Guide to Gift Rules and Regulations

As a public official in California, whether elected or appointed, volunteer or employee, you need to be aware of the rules regarding your receipt and reporting of gifts, as well as the traps for the unwary that can lead to...more

Bribery and Behaviors from the Front-Lines

Tell me a little bit about your background and how you came to be an anti-bribery consultant. My entry point into the defense business was as a fourth generation family member of what at the time (the mid 80's) was one...more

Design Thinking in Compliance

In many ways the migration from Chief Compliance Officer (CCO) 1.0 to 2.0 and beyond is more than simply about the technical aspects of a CCO to the internal and external delivery of a compliance solution by the compliance...more

Integrity in Contracting: Lessons From A Young Princess

Essays are a great way to teach lessons. In our house of seven children, it seems that almost every day is an “Essay Day.” Last week, when caught in the middle of a lie—about an issue that was not even important— one of my...more

[Webinar] Extending Your Compliance Team Without Expanding Your Budget - Sept. 30th, 12:00pm Eastern

Companies choose to outsource or co-source various parts of their operations for many reasons, with budget and headcount at the top of the list. In ethics and compliance, companies have many opportunities to co-source...more

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