Training Chief Compliance Officers

News & Analysis as of

The SEC, CCOs and Compliance Programs

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

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

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

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

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

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 [Video]

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

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

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 [Video]

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

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 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

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

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

“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

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

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

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

Government's Message to Corporate America — "We Want Your Whistleblowers!"

On September 22, 2014, the Securities and Exchange Commission's (SEC) Office of the Whistleblower announced that it had issued a $30 million bounty payment to a foreign whistleblower. This award is more than double the...more

Don’t Bore your Board: Seven Tips for Delivering an Engaging Ethics & Compliance Board Training Experience

If you are like most compliance officers, the thought of training your board on compliance risks may make your heart start beating just a little faster—and the task can quickly start to seem insurmountable. After all, it’s...more

FCPA Compliance and Ethics Report-Episode 96-interview with Karen Schuder on the teaching of business ethics [Video]

In this episode I interview doctoral candidate Karen Schuder on her research into the teaching of business ethics. ...more

Creation of Yosemite and Putting Compliance at the Center of Strategy

On this day in 1890, an act of Congress created Yosemite National Park, home of such natural wonders as Half Dome and the giant sequoia trees. Environmental trailblazer John Muir (1838-1914) and his colleagues campaigned for...more

Ireland Takes Big Step in Protecting Whistleblowers

Earlier this year, the Protected Disclosures Act 2014 was enacted in Ireland to protect whistleblowers across all sectors of the Irish economy. Transparency International Ireland has lobbied for whistleblower legislation in...more

Does a Compliance Program Matter to U.S. Antitrust Enforcers?

Two weeks ago Assistant Attorney General Bill Baer and Deputy Assistant Attorney General Brent Snyder of the Department of Justice’s Antitrust Division gave speeches in which they commented on the role of corporate compliance...more

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