Risk Mitigation Risk Assessment Chief Compliance Officers

News & Analysis as of

Your Questions: Let’s Talk Risk - A Q&A Session about How to Achieve a Risk-based Approach to Compliance Management

Risk is at the heart of every compliance program. But that’s sometimes easier said than done. In January 2015, Kwamina Williford, Partner at Holland & Knight; Chris Caron, Compliance Director at Kiewit; and Joe LeBas of...more

Breaking Down Compliance: The Keys to Creating a Successful Compliance Program—As Told through the Letters of COMPLIANCE

Still being a young role and profession, many people are working to define what makes a successful compliance professional and program, and what can help them improve. After traveling the country for the past few months at...more

Best Practices for Auditing & Monitoring Your Ethics & Compliance Program

To be defensible, it’s not enough to implement a strong ethics and compliance program. Regulators expect that companies are continually auditing and monitoring their programs and internal controls. Many companies with...more

Survey Finds Companies More Prepared to Combat Global Corruption

The international community has made significant strides in combating corruption, with a proliferation of anti-bribery laws putting companies under pressure to ensure they — and their business partners — are able to detect...more

8 Strategies for Compliance Risk Management: How to Fortify Your Efforts, Reduce Risk and Increase Confidence in Your Program

As a compliance practitioner, your goal is to design and oversee a program that’s comprehensive enough to mitigate risk, strong enough to address issues that occur (because they always can, and will) and robust enough to...more

Corporate Risk Ownership: When There are Multiple Teams Involved, Who Owns What?

“We have a enterprise risk management team. Where does their role end and ours begin?” That’s a common question as compliance teams mature their programs into risk-based approaches. The truth is, compliance risk...more

Wall Street and Ethics

I have to confess that there is a part of me that was skeptical about a new survey released last week finding that banks and other financial institutions have not embraced a culture of integrity. Indeed, the survey found...more

Tea Leaves from AAG Caldwell on An Effective Compliance Program

The government is on a public relation campaign. Department of Justice and SEC officials have been making the rounds and giving important speeches on criminal prosecutions, cooperation and voluntary disclosure and ethics and...more

Why Reputation Risk is Quickly Climbing the Ethics and Compliance Priority List, Part 3 | Beyond Compliance Training

So far in this series, we’ve discussed why companies are adopting a more public focus on ethics and compliance, how reputational risk can impact a company and its brand, and the first three elements of a five-part framework...more

Front-Line Video: An Interview with Jane Ellis, Anti-Bribery and Compliance Expert [Video]

On March 13th, 2015, GRC Solutions hosted a Round-Table discussion with compliance and legal professionals from some of the largest firms in Australia. I was invited as an Anti-Bribery, Compliance and Ethics consultant via...more

A Neglected Compliance Task: Program Assessments

The secret of life is honesty and fair dealing. If you can fake that, you’ve got it made. – Groucho Marx - Sometimes compliance practitioners miss the forest from the trees. They can get lost in the details of their...more

FCPA Compliance and Ethics Report-Episode 147-Prof. David Orozco on the use of compliance as a business strategy [Video]

In this episode I visit with Florida State University Professor David Orozco about his recent article on the use of corporate legal as a business strategy and its implications for the compliance practitioner. ...more

Compliance Reponses to Economic Downturns: A Focus On The Energy Sector

I. The Problem - As I write, oil is hovering around $50 per barrel. The price will inevitably rebound, but all compliance officers need to be prepared for responding to economic downturns in their respective industries...more

Practical Advice on Risk and Compliance Program Assessments

Sometimes the compliance industry makes things harder than they really need to be. As a result, Chief Compliance Officers are left to modify and transform practices and tools to fit the real world. I understand why CCOs do...more

COSO and Internal Controls – Part V

This post concludes my exploration of internal controls and how companies can demonstrate compliance with the internal controls requirement under the Foreign Corrupt Practices Act (FCPA) by adhering to the Committee of...more

Catching Up on the False Claims Act

From a corporate risk perspective, if your company is in the financial industry, healthcare, or defense industry, your greatest legal and compliance risk has to be the False Claims Act....more

Time To Apply A Risk-Based Approach To Information Security Training

Digital warfare seems to be the name of the game these days. Terrorists attack our database infrastructures and wreck havoc by making personal information public. Look at the most recent attacks on Sony, Chick-Fil-A and...more

2015 Trends: #8 Top Whistleblowing Priorities for Compliance Professionals

Last November, the U.S. Securities and Exchange Commission issued its Annual Report to Congress on the Dodd-Frank Whistleblower Program. It is clear that the program is going strong. Following are five key ways compliance...more

Both Sides Now and Asking the Right Compliance Questions

One of my favorite singers has always been Judy Collins. Like most of us, I was introduced to her through her interpretation of Joni Mitchell’s song Both Sides Now which she released in 1967. Joni Mitchell did not record her...more

Top Five Resolutions for Covered Entities and Business Associates in 2015

The New Year is here. It is time to make those 2015 resolutions, and not just those for getting fit and healthy. Resolve now to improve your organization’s compliance with the Health Insurance Portability and Accountability...more

Germany in the World Cup and the Alstom FCPA Enforcement Action – Part II

“It was important that we played our game for 90 minutes.” That line was found in a The Daily Telegraph article entitled “The unthinkable scoreline: Brazil 1, Germany 7” by Jeremy Wilson. It was a quote from Mats Hummels,...more

Kickbacks and Bribery

Companies can become hyper-focused on anti-bribery compliance. It is easy to do – just look on the Internet, Twitter and Linked In. There are plenty of groups, hash tags, postings and discussions on anti-corruption issues....more

Conducting Corporate Internal Investigations [Video]

Watch an in-depth webinar discussion focused on conducting corporate internal investigations, both in the U.S. and abroad. Bilzin Sumberg attorneys Marty Steinberg and Rafael R. Ribeiro present best practices for...more

Corruption, Risk and Business Strategy. Which one manages the others?

Since I stared writing about issues relating to compliance at the front line of international business, I have found myself looking more and more at the role of business strategy as a significant foundation of anti-bribery...more

Trying Something Different – the Desktop Risk Assessment

One type of risk assessment can consist of a full-blown, worldwide exercise, where teams of lawyers and fiscal consultants travel around the globe, interviewing and auditing. However if there is one thing that I learned as a...more

29 Results
|
View per page
Page: of 2

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.
×