News & Analysis as of

Surveys Compliance

Health Care Compliance Association (HCCA)

Beyond surveys: Rethinking traditional approaches to ethical culture assessments

To build a robust ethical culture, ethics and compliance professionals need effective culture assessments to pinpoint vulnerabilities and proactively address them. The U.S. Department of Justice’s (DOJ) update to the...more

ArentFox Schiff

New SEC Guidance on Marketing Rule: Ensuring Compliance in Advertisement and Marketing Material for Investment Advisors 2024

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The US Securities and Exchange Commission (SEC) recently released two new sources of guidance for the Marketing Rule. On February 26, the SEC Division of Investment Management released an FAQ clarifying how to include gross...more

Latham & Watkins LLP

FCA Sets Out Latest Areas of Focus Under the Consumer Duty

Latham & Watkins LLP on

FCA finds firms have been working hard to embed the Duty, but there remains room for improvement. On 20 February 2024, the FCA published more information on the Consumer Duty, including a publication highlighting good...more

Thomas Fox - Compliance Evangelist

Global Business Ethics Survey: Part 2 – Addressing Workplace Misconduct

The Global Business Ethics Survey (GBES) conducted by the Ethics & Compliance Initiative (ECI) provides valuable insights into workplace ethics and compliance from the perspective of employees. I recently had the opportunity...more

Thomas Fox - Compliance Evangelist

2023 Global Business Ethics Survey: Part 1 – Overview

The Global Business Ethics Survey (GBES) conducted by the Ethics & Compliance Initiative (ECI) provides valuable insights into workplace ethics and compliance from the perspective of employees. I recently had the opportunity...more

NAVEX

[Webinar] Inaugural Survey Report - The 2023 State of GRC Management - October 25th, 10:00 am PT

NAVEX on

Join the inaugural 2023 State of GRC Management Report preview webinar. This new and unique report highlights the collective insight of more than 300 GRC program decision makers at North American and European organizations. ...more

Morgan Lewis

Anti-Bribery And Corruption Survey Report

Morgan Lewis on

Survey: Tech gaps, third parties pose biggest ABAC threats - Compliance professionals surveyed regarding their anti-bribery and corruption efforts (ABAC) indicated resource support deficiencies in areas including staffing...more

Womble Bond Dickinson

2023 Global Data Privacy Law Survey Report

Womble Bond Dickinson on

2023 is shaping up to be a landmark year for data privacy, on both sides of the Atlantic. In the US, four new state laws go into effect – two on July 1 – while California is expanding its already robust requirements, and...more

NAVEX

[Webinar] The State of Risk & Compliance in 2023 - June 22nd, 9:00 am PT

NAVEX on

As our business environment becomes more complex and regulated, it is crucial for organizations to stay on top of their risk and compliance priorities. In this webinar, leaders in compliance and statistical research will...more

Reveal

5 Key Takeaways From the 2023 State of eDiscovery Technology Adoption Report

Reveal on

Every year comes with new challenges for the legal industry. From growing volumes of data to more complex laws and regulations, legal teams face increasing pressure to streamline their operations and reduce related costs year...more

Sheppard Mullin Richter & Hampton LLP

Foreign-owned companies operating in the United States must file a 5 year survey with the U.S. Department of Commerce by May 31,...

The Bureau of Economic Analysis (“BEA”) of the U.S. Department of Commerce, which conducts a series of mandatory surveys on foreign investments in the U.S., has recently published Form BE-12, its five-year survey on foreign...more

Fenwick & West LLP

Federal Government Announces Study of U.S. Space Industry with Mandatory Private Sector Participation

Fenwick & West LLP on

The Department of Commerce (Commerce), in partnership with the National Aeronautics and Space Administration (NASA) and the National Oceanic and Atmospheric Administration (NOAA), announced that it was launching a...more

EDRM - Electronic Discovery Reference Model

3 Takeaways from a Survey of 800+ Chief Legal Officers for E-Discovery Professionals

Every year, Exterro partners with the Association of Corporate Counsel (ACC) to conduct an in-depth survey of chief legal officers and general counsel at large US-based and international businesses to better understand their...more

Mitratech Holdings, Inc

The State of Legal, Compliance and Employment Law 2022-23

This report delivers today's latest HR legal and compliance issues. It explores how well today's organizations manage compliance, what their challenges are, and what organizations that excel in these areas tend to do...more

StoneTurn

Silence is Not Golden: Five Metrics and a Scorecard for Measuring Speak-Up Culture

StoneTurn on

Organizations can’t just *believe* they have a strong speak-up culture. They need to know they do. By following these steps, you can quantify the strength of your internal lines of communication. Originally published in...more

NAVEX

Executive Summary: 2022 Risk and Compliance Survey Benchmark Report

NAVEX on

The resilience of risk and compliance (R&C) leaders over these past couple of years has been remarkable. Our profession adapted amid the massive and sudden workplace shifts brought on by COVID-19, and by most accounts,...more

Faegre Drinker Biddle & Reath LLP

Highlights from the LTCi EX Task Force Meeting at NAIC

We want to bring you some highlights from the in-person LTCi EX Task Force meeting we attended August 12 during NAIC’s Summer National Meeting in Portland. The Commissioners principally discussed the next steps in the...more

Ogletree, Deakins, Nash, Smoak & Stewart,...

Multi-Jurisdictional Compliance: 3 FAQs on State Wage and Hour

Compliance with state wage and hour laws is on the forefront of the mind of just about every employer, particularly as employees are looking for more flexibility in their work schedules since the pandemic. Ogletree Deakins’...more

Womble Bond Dickinson

State of US Data Privacy Law Compliance

Womble Bond Dickinson on

In May 2017, the world of data privacy was irreparably changed when four members of the Chinese military hacked into credit-reporting company Equifax, exposing the personal information of nearly 150 million Americans. The...more

Ogletree, Deakins, Nash, Smoak & Stewart,...

Strategies and Benchmarks for the Workplace: Ogletree’s Survey of Key Decision-Makers - April 2022

In the spring of 2021, we conducted our first benchmarking survey of in-house counsel and senior HR professionals. At that time, the world remained firmly in the grips of the pandemic, with employers facing many new and...more

The Volkov Law Group

Important Planning and Design Steps in Targeted Employee Survey Program (Part II of II)

The Volkov Law Group on

A targeted employee survey program requires careful planning and communications prior to launching the survey program. Employee engagement in response to a specific survey requires transparent and robust explanations and...more

The Volkov Law Group

Monitoring and Measuring A Company’s Ethical Culture: Relevant Survey Strategies (Part I of II)

The Volkov Law Group on

Chief compliance officers play a key role in managing a company’s ethical culture. Most companies fail to pay proper attention to its culture because it is difficult to define, measure and monitor. Such an approach is...more

Mitratech Holdings, Inc

The State of HR Compliance in 2021

Regulatory compliance can be a tough area for HR because few notice when it is done right, but everyone notices if it is done wrong. This study looks at problem areas related to compliance, technology, and the investment of...more

The Volkov Law Group

Insights from Recent NAVEX Global and KPMG Surveys

The Volkov Law Group on

Chief compliance officers are always hungry for benchmarking data, for comparisons and insights around how their respective compliance programs stack up against other companies, especially in the same industry.  Compliance...more

The Volkov Law Group

Measuring and Reporting on the Organization’s Culture (Part III of IV)

The Volkov Law Group on

While the value of a positive corporate culture is clear, a strong culture does not always develop organically. Companies must devote attention to measuring, managing, and promoting ethical cultures....more

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