News & Analysis as of

Training Chief Compliance Officers

The Revolution in Compliance Training – It is Not Just About Your ABCs

by Michael Volkov on

A CCO never feels like he or she has caught up on compliance program requirements. As soon as one new best practice is identified, a CCO blinks for a moment and then there is a new best practice for them to consider....more

Suggested Questions for the Compliance Officer

by Ruder Ware on

In a previous blog post, I promised to release a list of questions a Board of Directors (Board) might ask its compliance officer. This post is intended to fulfill that promise. My intent is to help Board members exercise...more

Defining the Duty of the Board of Directors over Compliance Functions

by Ruder Ware on

I recently posted a blog article about a document released by the Department of Justice entitled “Evaluation of Compliance Programs.” As the title of the document might suggest, the DOJ release covers a variety of issues it...more

Code of Conduct Training – Now What?

by Michael Volkov on

When it comes to corporate compliance programs, change does not occur quickly. CCOs are extremely pleased with their improved delivery of code of conduct training. Across the board, companies are refining their codes of...more

CCOs Cannot Ignore C-Suite Risks

by Michael Volkov on

As the headlines continue to point to major misconduct and scandals involving senior corporate executives, compliance officers need to refocus their efforts and address a critical need....more

Make Sure You Address Compliance with Export Controls

by Michael Volkov on

Compliance officers have to avoid professional myopia. The focus of compliance these days has been on anti-corruption, antitrust, and AML, depending on your company’s industry. They fit nicely together under an...more

The SEC, CCOs and Compliance Programs

by Dorsey & Whitney LLP on

Compliance programs, Chief Compliance Officers and liability have been the subject of a great deal of debate in recent months. Members of the Commission, for example, debated charging decisions regarding CCOs last year in...more

Educating and Training Compliance Professionals for the Future

by Michael Volkov on

The compliance profession continues to grow at a fast clip. Hefty DOJ and SEC fines and criminal penalties have prodded companies to embrace the concept of compliance, and rely on compliance officers to keep their companies...more

Can Anti-Bribery Compliance Be Animated?

Caricatures can be found as far back as the 14th Century with Leonardo da Vinci. Martin Luther extensively used drawings of a more editorial nature in the Reform movement, and by the 18th century, animation had become a...more

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

by NAVEX Global on

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

Ethics & Compliance Training: 2015 Benchmark Report

by NAVEX Global on

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

Toshiba Scandal Underscores the Importance of a Speak-Up Culture

by NAVEX Global on

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

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

by Dentons on

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

FCPA Compliance and Ethics Report-Episode 169-the First Mailbag Issue

by Thomas Fox on

In this inaugural Mailbag Episode, I field questions from an earlier podcast on the training of third parties under the FCPA. ...more

Encouraging Employees to Break the “Rules” to Do the Right Thing

by Michael Volkov on

Laws and regulations draw black lines in often-gray areas. That is their purpose; they exist to make it easier to tell what is “wrong” and what is “right” (as defined by whoever made the law). The U.S. government has...more

Front Lines of Compliance: First Line of Defense

by Michael Volkov on

Chief Compliance Officers carry a lot of weight on their shoulders. Some days, I am sure, they have trouble getting up and soldiering on to tackle the next challenge....more

FCPA Compliance and Ethics Report-Episode 157-Training of Third Parties Under the FCPA

by Thomas Fox on

In this episode I discuss the training of third parties under the FCPA. I review the DOJ/SEC FCPA Guidance on this issue; the risk ranking of third parties to help deliver your training; the types of training you can utilize...more

Making the Case for Compliance Training for Third Parties

by NAVEX Global on

How to make the case for implementing third party compliance training in your organization. A recent article in the San Francisco Chronicle profiled Jay Jorgensen, the new Global Chief of Compliance at Walmart. The...more

2015 Trends: #9 Technology-enabled ethics and compliance is ready for takeoff

by NAVEX Global on

By every indication we are about to witness a dramatic leap in technology-enabled ethics and compliance. Tech Advancement in Key E&C Areas - Trends and our own client experiences are demonstrating that we are...more

The Perils of Check-The-Box Training

by Michael Volkov on

The most important opportunity for a company to communicate an ethics and compliance message is training. The Board, senior executives, managers and employees are required to watch and hopefully interact with a training...more

Promoting Internal Compliance Communications

by Michael Volkov on

The Internet-Age has certainly brought us all “closer” together. Sometimes I long for the old days of rotary telephones, four television channels, and vinyl record players. We never knew how good we had it in those days....more

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

by Thomas Fox on

“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

NAVEX Global’s Most Popular Ethics & Compliance Matters Articles from 2014

by NAVEX Global on

This year, we relaunched our blog with the goal of better serving the ethics and compliance community, providing deeper insights on topics that matter most to E&C professionals, as well as best practices and practical steps...more

Focusing on the Disconnect: Mid-Level Managers and Handling of Employee Concerns

by Michael Volkov on

We all have heard the problem: Employees want to report their concerns directly to their immediate supervisors (unless the problem relates to the immediate supervisor); Mid-level managers complain that they do not know how to...more

Five Quick and Easy Ways To Sabotage Your Compliance Training

by Thomas Fox on

Ed. Note-today we have a guest post from noted ethics and compliance expert, as well as steel guitar player, Chris Bauer. Okay, you know that you need to have effective compliance training but do you really know what...more

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