As most of you who’ve heard me speak or read my columns know, I’m a strong supporter of using data analytics in compliance programs. It’s an important tool that all compliance professionals should have a working understanding...more
By the time you read this, a new U.S. Department of Justice (DOJ) pilot program providing financial rewards to whistleblowers may already be underway. As I write this in late May, DOJ is in the midst of what is called a...more
7/31/2024
/ Chief Compliance Officers ,
Chief Ethics and Compliance Officers (CECO) ,
Compliance ,
Compliance Management Systems ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Internal Controls ,
Pilot Programs ,
Reporting Requirements ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers ,
White Collar Crimes
Answering the question of how much money a compliance and ethics program saves an organization when there’s been a violation is often a very difficult task, which presents a challenge in defending the investment in a program....more
7/31/2024
/ Chief Compliance Officers ,
Chief Ethics and Compliance Officers (CECO) ,
Civil Monetary Penalty ,
Compliance ,
Compliance Management Systems ,
Compliance Monitoring ,
Employees ,
Ethics ,
Internal Investigations ,
Office of Foreign Assets Control (OFAC) ,
Policies and Procedures ,
Sanction Violations ,
United Arab Emirates (UAE)
A recent issue of SCCE’s Corporate Compliance Weekly News contained a link to a startling report I was not previously familiar with. An investigation by the U.S. Coast Guard found numerous instances of sexual assault spanning...more
4/26/2024
/ Chief Compliance Officers ,
Compliance ,
Compliance Management Systems ,
Corporate Culture ,
Corporate Governance ,
Corporate Management ,
Disclosure ,
Ethics ,
Internal Controls ,
Internal Investigations ,
Risk Management ,
Self-Reporting
As we’ve noted here before, numerous environmental, social, and governance aspects have very clear compliance ramifications, whether in the form of laws and regulations or stakeholder expectations that can result in serious...more
4/26/2024
/ Chief Ethics and Compliance Officers (CECO) ,
Climate Change ,
Compliance ,
Compliance Management Systems ,
Corporate Governance ,
Corporate Social Responsibility ,
Environmental Social & Governance (ESG) ,
Ethics ,
Regulatory Requirements ,
Reporting Requirements ,
Risk Management
In October 2023, the International Organization for Standardization (ISO) published ISO 7101, Healthcare organization management: Management systems for quality in healthcare organizations. ISO 7101 is the latest in a series...more
Don’t look now, but the noisy debate over artificial intelligence (AI) has risen a few notches with the recent introduction of ChatGPT. AI has been a topic of conversation for several years, but ChatGPT has taken everyone’s...more
5/3/2023
/ Artificial Intelligence ,
Automated Systems ,
Bots ,
Chief Compliance Officers ,
Compliance ,
Compliance Management Systems ,
Compliance Monitoring ,
Machine Learning ,
Risk Assessment ,
Risk Management ,
Technology
Compliance Today - December 2022 -
Having a solid understanding of the challenges our operating units face provides tremendous perspective for the compliance team, enabling it to more fully understand and assist with...more
CEP Magazine - November 2022 -
Much has been made lately about whether environmental, social, and governance (ESG) as we know it is already failing and about to go away, only to re-emerge with a new twist and a new label....more
Compliance Today - November 2022 -
No, not that cancel culture. I’m talking about the new cancel culture, which seems to have emerged concurrently with the pandemic.
When COVID-19 hit hard in early 2020, many...more