Social Media, Chief Compliance Officers

Managing Social Media Risk

Society of Corporate Compliance and Ethics... on 7/18/2024

It’s not for nothing that there’s a year in the title of this blog post and podcast. Social media risks change frequently, explains Kortney Nordrum, VP, Regulatory Counsel & Chief Compliance Officer at Deluxe. She is the...more

SEC Tells Advisers What Not to Do in Advertisements

SEC Compliance Consultants, Inc. (SEC³) on 5/22/2024

SEC’s Division of Examinations (“EXAMS”) issued a risk alert on its Initial Observations Regarding Advisers Act Marketing Rule Compliance (the “Risk Alert”), giving compliance officers an unexpected gift by sharing examples...more

One Month to a More Effective Training and Communications - Day 2 - The D&B Experience in Training and Communications

Thomas Fox - Compliance Evangelist on 5/2/2023

How did one company and one CCO actively use social media to make the company’s compliance culture more effective? The company was Dun & Bradstreet, Inc. (D&B), and its then-CCO, Louis Sapirman, discussed D&B’s integration of...more

Highlights From SIFMA’s Compliance And Legal Seminar 2022

UB Greensfelder LLP on 3/30/2022

I attended the four-day SIFMA Compliance and Legal seminar last week, and there were a bunch of interesting soundbites from regulators that folks might find interesting. The challenge at these conferences is always...more

On the Naughty List – Nikola and Social Media Shenanigans

Thomas Fox - Compliance Evangelist on 12/22/2021

We continue our exploration of Santa’s Naughty List this week before Christmas by looking at the compliance failures of Nikola Corporation (Nikola). In a Press Release, the Securities and Exchange Commission (SEC) announced...more

[Virtual Conference] 28th Annual Advertising & Marketing Law - January 18th - 19th, 8:45 am - 1:30 pm EST

American Conference Institute (ACI) on 12/8/2021

Delve into critical legal and regulatory developments with the Canadian Institute’s 28th Annual Advertising & Marketing Law conference taking place virtually on January 18 – 19, 2022 (EST). This is Canada’s most comprehensive...more

[Virtual Event] Compliance Solutions Across Industries - June 9th, 8:55 am - 4:30 pm CDT

Society of Corporate Compliance and Ethics... on 4/22/2021

Compliance Solutions Across Industries - Are you looking to: - Create a stronger compliance program for your organization? - Explore key takeaways from recent international and domestic enforcement actions? -...more

[Virtual Event] 2021 Tampa Regional Compliance & Ethics Conference - April 23rd, 8:25 am - 4:30 pm EDT

Society of Corporate Compliance and Ethics... on 3/23/2021

Our Virtual Regional Compliance Conferences provide updates on the latest news in regulatory requirements, compliance enforcement, and strategies to develop effective compliance programs. Watch, listen, and ask questions from...more

Compliance Perspectives: Risk and the 2020 Compliance & Ethics Institute

Society of Corporate Compliance and Ethics... on 9/10/2020

The value of good risk management, both in compliance programs and even our personal lives, has never been more important. These days we find ourselves recalculating everything from the compliance risk of a new business...more

[Event] Virtual 2020 Richmond Regional Compliance & Ethics Conference - May 8th, Richmond, VA

Society of Corporate Compliance and Ethics... on 4/24/2020

Our Virtual Regional Compliance Conferences provide updates on the latest news in regulatory requirement, compliance enforcement, and strategies to develop effective compliance programs. Watch, listen, and ask questions from...more

The Pros and Cons of Managing Web Archives In-House

Hanzo on 6/3/2019

Archiving your organization’s website is like doing a home improvement project; both are prone to the DIY effect and sometimes the results are disastrous. We’ve seen it happen countless times: a financial services company...more

Day 20 of One Month to 360 Degrees of Communication in Compliance - What have we learned?

Thomas Fox - Compliance Evangelist on 11/30/2017

I entitled this month’s podcast series as “360-degrees of communication in compliance” because it has occurred to me that you can have an ongoing discussion about compliance at all times. Previously, I had thought of...more

Day 19 of One Month to More Effective Continuous Improvement-Use of Social Media for Continuous Improvement

Thomas Fox - Compliance Evangelist on 8/25/2017

Compliance does not exist in a time-warp vacuum, with programs living in 1977 when the first major anti-corruption legislation, the Foreign Corrupt Practices Act was passed. The law has advanced since that time, as has...more

Use of Social Media In a Best Practices Compliance Program

Thomas Fox - Compliance Evangelist on 3/10/2017

Why should you integrate social media into your compliance program? In a compliance program, a large portion of your consumers/customers are your employees. Social media presents some excellent mechanisms to communicate the...more

Bon Jovi, Social Media and Listening in Your Compliance Program

Thomas Fox - Compliance Evangelist on 2/27/2017

For every CCO or compliance practitioner, you have multiple audiences. First and foremost is your employee base but there can be third parties, shareholder or other stakeholders. One of the key insights of a number of...more

SEC Amends Form ADV and Investment Adviser Recordkeeping Rules

Dechert LLP on 9/16/2016

The U.S. Securities and Exchange Commission (SEC) recently adopted amendments to Form ADV and to Rule 204-2 (Recordkeeping Rule), as well as technical amendments to other rules under the Investment Advisers Act of 1940...more

Shakespeare Week – Part III: Much Ado About Nothing and Incorporation of Social Media into Your Compliance Program

Thomas Fox - Compliance Evangelist on 4/27/2016

How does Shakespeare portend social media in the 21st century? I would submit that one only need look at Much Ado About Nothing to see how it should all play out. As with all Shakespeare’s plays there is quite a bit going on...more

Shakespeare Week – Part II: Henry V and Using Social Media in a Compliance Program

Thomas Fox - Compliance Evangelist on 4/26/2016

Most people remember the St. Crispin’s Day speech in Henry V as one of the greatest speeches in all of Shakespeare. However many people do not focus on what led to that speech which was that Henry went out among his troops,...more

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on 11/2/2015

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

Compliance Connected – Line of Sight, Part I

Thomas Fox - Compliance Evangelist on 10/20/2015

Sometimes the simplest visual can provide the greatest insight about transformation. I had that particular insight when I recently had the chance to catch up with Scott Lane, Chief Executive of the Red Flag Group, at the SCCE...more

Social Media Week Part VI – Social Media and CCO 3.0

Thomas Fox - Compliance Evangelist on 8/10/2015

I conclude this exploration of the uses of social media in doing compliance by exploring why the compliance function is uniquely suited to using social media tools. Long gone are the days when Chief Compliance Officers (CCO)...more

Social Media Week Part V – Tools and Apps for the Compliance Practitioner

Thomas Fox - Compliance Evangelist on 8/7/2015

To conclude this week’s posts, I wanted to list some of the more prevalent social media tools, explain what they are and how you might use them in a compliance program. (As usual I got carried away so this series will...more

Social Media Week Part III – Twitter and Innovation in Your Compliance Program

Thomas Fox - Compliance Evangelist on 8/5/2015

I continue my exploration of the use of social media in your Foreign Corrupt Practices Act (FCPA) compliance program today. One of the ways that Chief Compliance Officers (CCOs) and compliance practitioners can communicate...more

Social Media Week Part II – Sharing in the Compliance Function

Thomas Fox - Compliance Evangelist on 8/4/2015

I continue my exploration of the use of social media as a tool of doing compliance by looking at some concepts around the sharing of information. In a recent podcast on Social Media Examiner, entitled “Sharing: The Art and...more

Social Media Week Part I – Using Social Media In Your Compliance Program

Thomas Fox - Compliance Evangelist on 8/3/2015

Welcome to Part I of Social Media Week. I recently did a webinar, hosted by The Network, on the use of social media in your Foreign Corrupt Practices Act (FCPA) compliance program. The response was as great as almost any...more

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