Training

News & Analysis as of

Structured Thoughts: News for the financial services community, Volume 6, Issue 5

OCIE Issues Risk Alert Relating to Structured Note Sales - Earlier this year, the SEC’s Office of Compliance Inspections and Examinations (the “OCIE”) indicated branch offices and structured products as two of its...more

Would You Drop to the Floor If Shooting Broke Out In Your Workplace?

With depressing regularity, we receive calls asking for guidance in evaluating and responding to potential workplace violence threats. The threats are rarely serious but in this era, one can never ignore concerns. There are...more

U.K. Modern Slavery Act: New Disclosure Requirements for Companies Operating in the United Kingdom

Companies that do business in the United Kingdom should assess their exposure to the U.K. Modern Slavery Act, which goes into effect this October. The transparency provisions of the Act are applicable to companies that do any...more

Unpaid Internships: Tips for Avoiding Legal Liability

Unpaid internships present companies with potential legal exposure, as shown by several recent, well-publicized legal victories for interns, including one against NBC, which ultimately paid out millions of dollars. To help...more

Recovering from an Ethics Breach | 5 Steps the CECO Should Take to Rebuild (Part 1)

The role of the Chief Ethics and Compliance Officer (CECO) is constantly evolving, especially as ethics and compliance become increasingly essential. Most can agree that the majority of CECOs’ work focuses on prevention, but...more

4 Phases of an Effective Implementation and Change Management Plan: Expert Advice When Changing to a New Compliance Service...

Thinking of making the move over to a new compliance service provider can seem like a tedious project to tackle. However, compliance organizations are tasked to find innovative ways to track and manage compliance...more

Anti Bribery Compliance Training and Policies For Global Companies: Localize or Standardize?

One of the top priorities for compliance professionals today is training their global workforces on anti corruption and anti bribery, particularly in those areas of the world in which these practices represent cultural norms....more

Top Ten Resources for Engaging Your Board in Your Ethics & Compliance Program

Resources to help you engage your board of directors in the success of your ethics and compliance program. A successful board engagement strategy can help ethics and compliance professionals gain significant program...more

Be Alert Asia Pacific: Employment Law Newsletter: Top Tips for Employers: Cyber Risks and Fraud

Cyber risk is becoming a growing concern amongst businesses and institutions. Data breaches and hacking have been problematic among some sectors, predominantly financial services, for some time. These risks are now often...more

Ethics & Compliance Training: 2015 Benchmark Report

NAVEX Global’s Ethics & Compliance Training Benchmark Report covers benchmarks such as budget size, FTEs, training topics and formats—as well as top training trends, challenges and more— to help you: · Evaluate the...more

Ethics & Compliance Training Best Practice FAQs: Top Five Questions from the Training Benchmark Webinar Answered

During our recent webinar (now available on-demand), we provided an in-depth tour through the findings of our 2015 Ethics & Compliance Training Benchmark Report. Webinar attendees asked a number of valuable questions on...more

Toshiba Scandal Underscores the Importance of a Speak-Up Culture

In what’s being called the most damaging event in the company’s 140-year history, Toshiba admitted this week to overstating its operating profit by $1.22 billion during the past several years. This staggering figure and...more

The Key to Fostering Employee Engagement in Workplace Harassment Training

OCEG Chair Scott Mitchell and The Network’s VP of Product Management and Corporate Development, Jimmy Lin, discuss how to foster engagement around areas that affect companies of all sizes, such as workplace harassment...more

EEOC Chair Yang, Labor Secretary Perez, and Transportation Secretary Foxx to Speak at Annual Excel Conference

August 10-13, Washington, D.C., Event Highlights EEOC's 50th Anniversary - WASHINGTON - U.S. Secretary of Labor Thomas Perez and U.S. Secretary of Transportation Anthony Foxx will join Jenny R. Yang, Chair of the U.S....more

3 Ways to Improve Compliance Training

As the compliance profession matures and evolves, the elements of an effective compliance program follow a similar pattern. Compliance training programs have become more sophisticated over the last five years, as...more

Deliberate Indifference to Bullying Can Amount to Massive Liability – Lessons from the Pine Bush Settlement

$4.48 million. That’s how much the Pine Bush School District in central-New York just agreed to pay to settle a lawsuit brought by a group of current and former students who alleged that school administrators were...more

Legal Issues Business Leaders Need to Know in 2015: Top 10 Checklist

A compilation of time-sensitive and trending legal and regulatory issues that general counsels and business leaders should be aware of in 2015. Employers Should be Aware of Multigenerational Workforce Risk - For...more

Preview of NAVEX Global’s 2015 Ethics & Compliance Training Benchmark Survey Findings

While most ethics and compliance officers work hard to keep their training programs effective, they struggle to find answers to many questions, including: - How well is my training program adapting to the needs of an...more

J-1 Training Plan Updates: What Host Companies Should Know

The Department of State issued an updated Form DS-7002, Training/ Internship Placement Plan for the Student and Exchange Visitor Information System (SEVIS), a web-based information system maintained by the Department of...more

Confederate Flag Controversy & Fostering Respectful Workplace Conversations

Best practices for fostering respectful workplace conversations. Considered a symbol of Southern pride by some and a symbol of racism by others, the Confederate flag has been a source of extreme controversy for at least...more

What the Government Expects to Find in an Anti-Corruption Compliance Program

Similar to Foreign Corrupt Practices Act enforcement generally, the federal government has expanded what it expects to find in an anti-corruption compliance program. U.S.-connected companies operating internationally...more

The Best Defense Against an FMLA Lawsuit: Training!

Quick. Answer this: if one of your employees tells his supervisor that he needs surgery and will miss 2-3 weeks of work, do your managers know what to do? Do they call the employee’s surgeon? (NO!) Do they know who to speak...more

Four Compliance Metrics That Need to Die: Empty Metrics that Aren’t Worth Tracking or Reporting

I’m continuously struck by the compliance industry’s challenges around program measurement and reporting. Most recently, it was the annual Compliance Trends Survey from Compliance Week and Deloitte that delivered the bad...more

Harassment “Must-Have” No. 5: No Retaliation!

It should be easy to avoid retaliation, right? Because retaliatory conduct is intentional – you can’t “accidentally” retaliate against someone. You can’t “negligently” seek payback....more

Be Alert Middle East: New Saudi Labour Law

The amendments to the Saudi Labour (Royal Decree No. M/46 of 05/06/1436) were published in the official gazette No. 4563 dated 24 April 2015. It has been announced by the Ministry of Labour that these will be implemented six...more

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