Training, Compliance | JD Supra Law News

Four Keys To Compliance Leadership

by Thomas Fox on 5/16/2013

One of the most divisive moments in American history occurred on this date in 1868. On this day the US Senate voted against impeaching President Andrew Johnson thereby acquitting him of having committed “high crimes and...more

12 Internal Benchmarks for Helpline Reporting

by NAVEX Global on 5/14/2013

Brief Explanation of Internal Benchmarks - While senior leaders and board members often express concerns about how a company’s data compares to external benchmarks, it is equally important that companies review their...more

Four Key Board Responsibilities for Monitoring Risk and Compliance

by NAVEX Global on 5/13/2013

Introduction: High Pressure Regulatory Environment - Now more than ever, there is increased regulatory pressure on organizations – and their Boards of Directors – to create and maintain effective ethics and compliance...more

Get Out Of The Ivory Tower – Using Internal Corporate Resources To Facilitate The Compliance Function

by Thomas Fox on 5/2/2013

The second day of Hanson Wade Oil and Gas Supply Chain Compliance conference in Houston packed as much solid information into it as did the first day. One of the sessions dealt with utilizing other corporate functions to...more

Anti-Corruption High-Risk Audits

by Michael Volkov on 4/29/2013

The Justice Department and the SEC should be credited with promoting new compliance strategies and best practices. Whatever you may think about the DOJ/SEC FCPA enforcement program, they have pushed businesses to enhance...more

11th Circuit Grounds U.S. Air Force Reservist’s USERRA Claim

by Michael Mattingly | Dinsmore & Shohl LLP on 4/26/2013

On April 5, 2013 the U.S. Court of Appeals for the 11th Circuit issued its opinion in Landolfi v. Melbourne1, holding that although an employee’s military service motivated the employer’s promotion decisions, his Uniformed...more

Lessons Learned from the Parker Drilling DPA and Ralph Lauren NPA [Video]

by Thomas Fox on 4/25/2013

In the two most recent corporate Foreign Corrupt Practices Act (FCPA) enforcement actions, the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) to communicate not only what they believe constitutes a...more

Edgar Allen Poe And Innovation In The Compliance Function

by Thomas Fox on 4/19/2013

Tomorrow, April 20 is the anniversary of a truly innovative work of literature. On April 20, 1841, Edgar Allen Poe’s story, The Murders in the Rue Morgue, first appeared in Graham’s Lady’s and Gentleman’s Magazine. The tale...more

Got 20 Minutes? Spicing Up Compliance Training

by Thomas Fox on 4/17/2013

How can you create or revise your compliance program? One of the first steps you should take is to devise an action plan. A recent article in the March edition of the Compliance Week magazine, entitled “Putting Together an...more

Assessing Your BSA/AML Compliance Program

by Michael Volkov on 4/15/2013

Like every compliance project, when you start the process, it is important to conduct a careful assessment of risks and your company’s compliance program. With the growing risk of criminal, civil and regulatory enforcement...more

How To Demonstrate Ethics And Compliance – Earn It, Re-Earn It And Re-Evaluate It

by Thomas Fox on 4/15/2013

What should your company do if it finds itself in a situation where some of its senior leadership has engaged in conduct which violates its own ethical standards or external legal standard such as the Foreign Corrupt...more

Monitoring Of Third-Party Agents And Distributors

by Michael Volkov on 4/3/2013

Try to imagine what DaVinci said to himself when he painted his last brush stroke on the Mona Lisa. Or consider what Tolstoy muttered to himself when he put down his pen after writing the last word of War and Peace....more

What To Do If Your Gut Says It’s Wrong: Lessons from Project Alpha

by Thomas Fox on 3/21/2013

I often write about what can happen to companies who run afoul of the Foreign Corrupt Practices Act (FCPA). Usually enforcement actions focus on companies and not individuals. However, as is often pointed out by commentators...more

Moving Compliance through an Organization

by Thomas Fox on 3/15/2013

We often talk about tone at the top. But in many ways it is tone further down the organization which is more important for this is where the rubber hits the road and compliance is done on a day to day basis. I recently saw a...more

How to Introduce Change into Your FCPA Compliance Program (Without Blowing It Up)

by Thomas Fox on 2/21/2013

Thucydides or Herodotus; Herodotus or Thucydides. Which is your favorite? I admit to vacillating between the two. Thucydides wrote about the end of the Athenian dynasty from the Peloponnesian War and the debacle of the...more

Internal Advertising of Your FCPA Compliance Program

by Thomas Fox on 2/19/2013

Spring training is upon us and I have always enjoyed this time of year because, as one might say, ‘hope springs eternal’ especially for baseball fans. But this year I have no hope for the Astros as they have cut their payroll...more

Establishing an Effective Compliance Program: An Overview to Protecting Your Organization

by Daniel Small, Kwamina Thomas Williford | Holland & Knight LLP on 1/31/2013

In This Issue: - Overview - Standards and Procedures - Organizational Leadership and Culture - Reasonable Efforts to Exclude Bad Actors From Managerial Ranks - Training and Education - Monitoring,...more

The FCPA Guidance on the Ten Hallmarks of an Effective Compliance Program

by Thomas Fox on 1/23/2013

Many commentators are still mining the Department of Justice (DOJ)/Securities and Exchange Commission (SEC) publication, A Resource Guide to the U.S. Foreign Corrupt Practices Act, (the “Guidance”), which was released last...more

How to Reach Your Audience in Compliance Training – The Use of Charisma

by Thomas Fox on 1/18/2013

One often hears or reads about complaints that compliance training is dull, nay even boring. I mean, how many times can you expect someone to be lectured to on the riveting subject of the Foreign Corrupt Practices Act (FCPA)...more

Top 10 Ways To Minimize Whistleblower Risks

by Harris M. Mufson, Steven J. Pearlman | Proskauer - Whistleblowing & Retaliation on 12/13/2012

Here are the TOP 10 STEPS public and private employers should consider taking to minimize the risk of whistleblower retaliation claims and build defenses where litigation is unavoidable....more

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Training › Compliance

Four Keys To Compliance Leadership

12 Internal Benchmarks for Helpline Reporting

Four Key Board Responsibilities for Monitoring Risk and Compliance

Get Out Of The Ivory Tower – Using Internal Corporate Resources To Facilitate The Compliance Function

Anti-Corruption High-Risk Audits

11th Circuit Grounds U.S. Air Force Reservist’s USERRA Claim

Lessons Learned from the Parker Drilling DPA and Ralph Lauren NPA [Video]

Edgar Allen Poe And Innovation In The Compliance Function

Got 20 Minutes? Spicing Up Compliance Training

Assessing Your BSA/AML Compliance Program

How To Demonstrate Ethics And Compliance – Earn It, Re-Earn It And Re-Evaluate It

Monitoring Of Third-Party Agents And Distributors

What To Do If Your Gut Says It’s Wrong: Lessons from Project Alpha

Moving Compliance through an Organization

How to Introduce Change into Your FCPA Compliance Program (Without Blowing It Up)

Internal Advertising of Your FCPA Compliance Program

Establishing an Effective Compliance Program: An Overview to Protecting Your Organization

The FCPA Guidance on the Ten Hallmarks of an Effective Compliance Program

How to Reach Your Audience in Compliance Training – The Use of Charisma

Top 10 Ways To Minimize Whistleblower Risks

Lessons Learned from the Parker Drilling DPA and Ralph Lauren NPA [Video]

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