Risk Mitigation Compliance

News & Analysis as of

Shakespeare Week – Part I: Henry IV, Part II – Lawyers and Compliance

What is the most famous line in Shakespeare about lawyers? That is an easy one because lawyer-haters across the world (and lawyer-lovers as well) know it – First thing we do is kill all the lawyers. It comes from Henry IV,...more

2016 Trends #8: Getting Serious About Anti-Bribery & Corruption Efforts and Third-Party Risk Management

By now, most organizations understand the importance of identifying and addressing any exposure they have to violations of anti-corruption and bribery (ABC) laws. Much attention has been given to recent cases, and to...more

How well do you know your compliance program? 6 simple tools

In light of DOJ’s recent guidance, most companies understand that “paper” compliance programs are no longer enough to protect a company when a regulator comes knocking. Companies are under increasing pressure to demonstrate...more

Building and Managing the Right Team for Compliance

On this date in 1929, Walter Chrysler was announced as Time Magazine’s Man of the Year. Chrysler was a seminal figure in the American automobile industry in the last century and in business leadership. He grew his company to...more

Applying Practical Strategies to Supply Chain Risk

A Chief Compliance Officer can get so overwhelmed with risks that it is hard to keep their focus on priorities. Risks are everywhere and no compliance program can address every risk – the trick is keeping your eye on the ball...more

Private equity firms: In the line of antitrust fire?

There was a time when private equity firms may have seen themselves as arms-length financial investors but regulators are increasingly holding them responsible for the behaviour of their portfolio companies. A new type...more

A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement - SEC Decides Against Mounting an Appeal in Koch Ruling - The July 2015 ruling by the D.C. Circuit Court in Koch v. SEC will apparently not be challenged by the SEC. The Court ruled in that...more

Managing Legal and Reputational Risks in an Era of Enhanced Transparency

Companies face a range of new requirements and expectations calling for enhanced transparency regarding human rights-related risks in connection with their operations. Responsible compliance with both mandatory requirements...more

Focus on China - October 2015

Welcome to the third issue of Focus on China Compliance for 2015. According to the FCPA Blog’s October 2015 Corporate Investigations List, China leads the countries reported to be involved in FCPA investigations with 29...more

Tips for Going Global: Plan Before You Expand

Companies enjoying success in the U.S. often seek global expansion to gain strategic benefits from accessing new markets—new revenue potential, talent acquisition and increased brand awareness. Before replicating your...more

New Whitepaper: Why Anti-Corruption Programs Fail: Turning Policies into Practices

CREATe.org Launches Whitepaper Outlining Top Ten Ways Anti-Corruption Programs Fail and Insight into How to Embed Compliance across an Organization - Guidance for companies seeking to mitigate anti-corruption risks...more

Whistleblower Risk for Private Companies: Misperceptions About Whistleblower Protections Could Cost Private Companies

Sarbanes Oxley made it clear: publicly traded companies must protect whistleblowers from retaliation, or face large fines and legal actions. Yet a widely misunderstood ruling last year by the Supreme Court opened up...more

[Webinar] Corruption, Gifts and Hospitality: Best Practices in Training to Mitigate Risks - Oct. 29th, 12:00pm ET

The acceptance and provision of gifts, entertainment and hospitality is a significant corruption risk for companies. Are your marketing, sales and client relations activities in compliance with applicable legal standards?...more

Banking Regulators Adopt End-User Exemption for Swap Margin Requirements

New Margin Requirements - The Board of Directors of the Federal Deposit Insurance Corporation approved a final rule to establish margin requirements for swaps that are not cleared through a clearinghouse. This action is...more

How to Be Heard: 5 Ways Compliance Officers Can Get Noticed by the Board, Other Executives, and Their Own Team

Even in today’s high-paced environment, compliance departments are too often viewed as a necessity somewhere along the lines of an insurance policy. You have to have one, sure, but the details don’t really matter all that...more

Big Data in Human Resources = Big Decisions for HR Pros

Big data, data analytics, talent analytics, HR analytics, people analytics. There are many names to describe the use of data science in human resources, and as the list grows, the promise of this technology continues to...more

Why Mitigation Should Be a Dirty Word: The Implications of a Compliance Industry Evolving Away From Risk and Towards Strategy

It used to be a compliance officer’s primary job could be boiled down to two words: risk mitigation. This was true of General Counsels, Chief Compliance Officers, Chief Legal Officers, and other C-level leaders....more

New Study Highlights Anti-Bribery & Corruption Gaps & Risks

Everyone reading this post should have conducted a corporate risk assessment (CRA) in the past couple years. If not, stop reading and go conduct one now. Seriously, how can you know if your compliance program resources,...more

Making Compliance Easier and Smarter Through Technology: Intuitive Interface and Intelligent Data Gathering is Helping WorldRemit...

WorldRemit is an online money transfer service. It’s bringing a strong challenge to other players in this field through easier-to-use services and lower fees. But while it may be an innovative company, it is still challenged...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

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

Program Measurement, Reporting and Benchmarking: Thoughts and Insights from a Group of Compliance Executives

Last week, we hosted our first Compliance Tech Talk event. Just in case you missed our blog post about this new event series, Compliance Tech Talks bring compliance executives together for a interactive roundtable discussion...more

The Case for a Better Gifts & Entertainment Compliance Program - Part Two: An Effective G&E Program

Previously we covered setting the foundation for a better G&E compliance program. In the second piece of The Case for a Better Gifts & Entertainment Compliance Program, we’ll look at the key components to having an effective...more

Spain Sets a New Milestone with its Corporate Compliance Statute

As of July 1 of this year, Spain becomes the latest in a string of nations with a corporate compliance defense. Article 33 of Spain’s criminal code will provide an exemption from corporate criminal liability where the company...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

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