News & Analysis as of

Ethics

Time for Compliance to Take a Stand

by Thomas Fox on

Chuck Duross has called the compliance profession “The Alamo” of corporate America, in that sometimes you must take a stand, draw a line in the sand and make the ultimate commitment to your values. Based upon the events in...more

Compliance into the Weeds-Episode 50, Where's the Upside?

by Thomas Fox on

In this very topical episode Matt Kelly and I take a deep dive into the administration’s response to the events over the weekend in Charlottesville and what it means for business leaders, compliance practitioners and others...more

Retaining a “Risky” Third-Party

by Michael Volkov on

Every company has done it. Chief Compliance Officers have had to hold their respective noses and push forward with due diligence to retain a risky third party. Rather than reject the third party, a CCO convinces him or...more

Wake Up and Mind Your Culture — Practical Approaches to Managing a Company’s Culture

by Michael Volkov on

Ethical culture is the flavor of the year these days. We are seeing more postings and articles about the importance of ethical culture, and even pushing the idea of measuring and monitoring culture....more

Procurement Pressure: The Convergence Of Supply And Compliance

by Thomas Fox on

With a growing number of complex regulations and directives, the only thing that is constant right now in the regulatory environment is change. Supply chain leaders and compliance professionals alike continue to grapple with...more

Voluntary Monitoring – Multiple Purpose Tool in Compliance

by Thomas Fox on

Alan Peckolick, died last week. According to his obituary in the New York Times, he “overcame a failed art school career to emerge as a leading designer of some the world’s most distinctive logos”. In an interview with the...more

Get Your Board On Board

by Michael Volkov on

Sometimes my references to Seinfeld episodes or Curb Your Enthusiasm vignettes do not work or can charitably be characterized as a little off. Nonetheless, I press on....more

The Mattis Memo On Ethics – Not Just For The Military

by Thomas Fox on

Earlier this week, Matt Kelly broke the story of Secretary of Defense James Mattis Memo on Ethics to all Department of Defense (DoD) employees, in a blog post entitled “Secretary Mattis’ Insights on Ethics”. On Wednesday,...more

Compliance into the Weeds-Episode 49, Mattis Memo on Ethics

by Thomas Fox on

In this episode, Matt Kelly and I take a deep dive into the weeds on a Memo issued by Secretary of Defense James Mattis last week. It deals specifically with ethical conduct within the DOD and US military. It is one of the...more

The Pull & Push of Compliance Policies & Training

by NAVEX Global on

“…companies used to bring in binders full of their policies….I really don’t care what the policy says….I’m more interested in how the policies actually operate.” That’s a quote from Hui Chen from an interview with...more

'Unmasking' Corruption

The following is an interview with Anne-Christine Wegener, co-author, “Unmasked: Corruption in the West.” RB: Dear Anne-Christine, first, thank you for taking the time to meet with me during my recent trip to Heidelberg,...more

What Happens When Employees Stop Speaking Up?

by Michael Volkov on

One of several difficult compliance questions facing companies revolves around reporting of employee concerns. If the number of complaints coming in on a company hotline goes down over time, is corporate misconduct going down...more

Compliance Report-International Edition-Tim Khasanov on Compliance in post Soviet states

by Thomas Fox on

In this episode, I visit with Timur Khasanov-Batirov. Tim is a compliance practitioner with focus at high-risk markets and author of practical guide “Integrity Corp. 50 Tips for Your Compliance Program in the Post-Soviet...more

Workplace Ethics & Culture: What the Uber Board Report Means for Compliance Officers

by Thomas Fox on

A compliance perspective on one of the most unique corporate documents you will ever see....more

Highlights From DRI Class Action Seminar 2017 – Day Two

Here are my highlights from the second day of DRI’s 2017 Class Action Seminar: Class Action Waivers in Employment Agreements (Neal Katyal of Hogan Lovells) - Neal Katyal is a leading Supreme Court advocate and is litigating...more

Appellate Court Endorses FPPC’s “Reasonably Foreseeable” Test for PRA Conflicts Analysis

by Best Best & Krieger LLP on

A recent appellate decision illustrates the far-reaching and powerful impact of the Political Reform Act’s conflicts provisions, and how that law can be employed as a sword in litigation to negate or undo decisions of...more

Farewell to Sam Shepard: Wither Whistleblowers in the UK?

by Thomas Fox on

American’s greatest living playwright died yesterday as Sam Shepard passed away from Lou Gehrig’s disease. According to his obituary in the New York Times (NYT) “In Mr. Shepard’s plays, the only undeniable truth is that of...more

Third Circuit Revives In-House Attorney’s Whistleblower Claim

On July 25, 2017, the Third Circuit allowed a plaintiff who was an in-house attorney to proceed with a whistleblower retaliation lawsuit under the New Jersey Conscientious Employee Protection Act (CEPA) based on its...more

The Perfect Compliance Combo: Culture and Controls

by Michael Volkov on

Compliance practitioners divide their commentary and insights into two general categories – ethical culture and compliance controls. It is easy to divide compliance issues into these two categories. Ethical culture articles...more

FCPA Risks and Acquisition Integration Challenges

by Michael Volkov on

Chief compliance officers have devoted significant efforts to conducting pre-acquisition due diligence of a proposed target companies. I do not intend to diminish the importance of pre-acquisition due diligence, but I have...more

Bo Pilgrim and Cultures in Foreign Lands (like Texas)

by Thomas Fox on

There are many reasons the great state of Texas is just that – great. One Texas truism (Texas translation – true or not) is that everything is bigger in Texas. I was reminded of a certain truism in the area of business ethics...more

Are You Measuring Your Training Effectiveness … Effectively?

by NAVEX Global on

Compliance breakdowns are in the headlines and on every manager’s mind these days. Organizations help manage the risk of becoming the next headline by creating a robust and effective compliance program – and training is a...more

Trademark Investigations In The Age Of Social Media: When Can You “Friend” An Adversary?

I have often called my friend and colleague, Dave Kluft, the master of opposition research. When we have a trademark case together, he can be counted upon to think deeply about our adversaries, see the world through their...more

Is Your Company At-Risk for a Government Enforcement Action?

by Michael Volkov on

For some reason, I have always believed that picking successful stocks should not be very difficult. Unfortunately, my record in the stock market does not back up my self-assessment. On the other hand, when it comes to...more

EMEA & APAC Reporting Volume to Follow U.S. Whistleblower Trends?

by NAVEX Global on

Never has it been more critical to create an open and constructive organisational culture, where employees feel the ability to raise issues freely without fear of recrimination, and to have those issues listened to and...more

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