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Best Management Practices Chief Compliance Officers

Thomas Fox - Compliance Evangelist

FCPA Compliance Report-Episode 382, Susan Divers on LRN’s 2018 Program Effectiveness Report

In this episode Susan Divers, Senior Advisor at LRN returns to talk about "LRN’s 2018 Program Effectiveness Report."...more

Thomas Fox - Compliance Evangelist

Compliance and Plan C: Operationalization During Economic Uncertainties

The current economic climate continues to be in flux, with many companies falling back to Plan C, which is hunker down and ride things out until the next Presidential election and hope for some clarity in 2020. This obviously...more

Thomas Fox - Compliance Evangelist

Leadership Lessons from Mutiny on the Bounty

In honor of February and its traditional run up to the Oscars, in my podcast on business leadership, 12 O’Clock High, a podcast on business leadership, I am exploring leadership lessons from Oscar-winning Best Pictures. In...more

Thomas Fox - Compliance Evangelist

Rodriguez ‘Retires’ – Lessons for the Compliance Practitioner

Alex Rodriguez announced his retirement from baseball, effective Friday, August 12. In a New York Times (NYT) article he said, “Saying goodbye may be the hardest part of the job,” “But that’s what I’m doing today. As far as...more

Baker Donelson

Compliance Officers Can Face Individual Liability for Corporate Importation Violations

Baker Donelson on

Corporate officers and shareholders take note: personal liability for unpaid duties may result from material misrepresentations on import documentation even when the importer of record is a corporate entity. The corporate...more

NAVEX

Does Your Ethics & Compliance Policy Management Work? [Survey Says...]

NAVEX on

The most definitive set of benchmarking data on ethics and compliance policy management ever compiled: NAVEX Global conducted an anonymous survey of nearly 900 ethics and compliance professionals about policy...more

The Volkov Law Group

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

The Volkov Law Group 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

NAVEX

[Complimentary Research Report] NAVEX Global's 2015 E&C Policy Management Benchmark Report

NAVEX on

Policy management has been — and remains — a maturing business practice. As a result, many compliance professionals are not working against industry benchmarks to answer such questions as: - How much are other...more

NAVEX

[Webinar] Benchmarking Your Policy Management Program - May 21, 10:00am PT / 1:00pm ET

NAVEX on

Join this free webinar to hear compelling survey results and answers to questions such as: What are organizations doing to address policy management today? What are E&C leaders’ top policy management...more

Thomas Fox - Compliance Evangelist

FCPA Compliance and Ethics Report-Episode 154-Compliance Leadership-Persuasion, Influence, Tools & Tips, Skills and Tips

In this episode, I discuss some of the tools which a compliance practitioner or CCO can use to further compliance in an organization. ...more

Parker Poe Adams & Bernstein LLP

Another Whistleblower Award Wrinkle

There is no longer any doubt that the SEC is serious about implementing its whistleblower program. According its most recent award announcement, the program has now paid more than $50 million to whistleblowers since its 2011...more

The Volkov Law Group

Documenting Your Compliance Program

The Volkov Law Group on

There are two important reasons for documenting a compliance program. First, a compliance record is valuable to a company’s compliance team as a reference to specific actions taken by compliance professionals and...more

The Volkov Law Group

Lions and Tigers and Bears – Certifications, Checklists and Standards

The Volkov Law Group on

The compliance profession continues to rise in importance. Companies are paying more attention to corporate culture and devoting resources to enhance existing compliance operations. This approach is reinforced with each week...more

K&L Gates LLP

How to Conduct Internal Investigations Outside the United States

K&L Gates LLP on

Think of a U.S.-headquartered multinational when it receives an allegation of serious misconduct at one of its overseas operations. Maybe the company whistleblower hotline just got a tip that a secretary in the Buenos Aires...more

NAVEX

Building a Culture-Changing E&C Program: Six Essentials

NAVEX on

Compliance programs are effective only to the degree that they help build and support a strong organizational culture. So what does a strong corporate culture look like? And what ethics and compliance tools can help support...more

NAVEX

How Do I Know If My Policy Management System Is Working?

NAVEX on

If you’re like many compliance professionals, you know it can be a struggle to evaluate the performance of your policy management system—and to truly understand whether your approach is effective and efficient....more

Thomas Fox - Compliance Evangelist

Revisiting The Raven and Visiting Foreign Subsidiaries

Today we celebrate the birth of one of America’s most iconic authors, Edgar Allen Poe, who was born on this day in Boston, Massachusetts. Anyone who reads or watches a mystery show on television owes a debt to Poe for...more

Thomas Fox - Compliance Evangelist

Get Your Tootsie-Frootsie Ice Cream; Hiring as Part of Your Compliance Program

One of my great loves is the Marx Brothers. I fell in love with their rapid-fire wiseacre remarks as a teenager and have been enthralled with them since then. I have seen all of their movies, most of their television...more

Obermayer Rebmann Maxwell & Hippel LLP

Top Five Resolutions for Covered Entities and Business Associates in 2015

The New Year is here. It is time to make those 2015 resolutions, and not just those for getting fit and healthy. Resolve now to improve your organization’s compliance with the Health Insurance Portability and Accountability...more

Thomas Fox - Compliance Evangelist

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

Thomas Fox - Compliance Evangelist

Sherlock Holmes and Innovation in the Compliance Function – Part IV, The Valley of Fear

Today I conclude my dual-themed week of blog posts featuring Conan Doyle’s four Sherlock Holmes novels and innovation in the compliance function. As the compliance profession matures and we move into what I call the era of...more

Thomas Fox - Compliance Evangelist

Sherlock Holmes and Innovation in the Compliance Function, Part I – A Study In Scarlet

Today begins a week of double themed blog-posts. First I am back with an homage to Sherlock Holmes, for it was in the magazine Beeton’s Christmas Annual that the characters Sherlock Holmes and Watson were introduced to the...more

Pillsbury Winthrop Shaw Pittman LLP

Guidance for Companies Developing and Implementing Antitrust Compliance Programs

Recent policy statements by the U.S. Department of Justice’s Antitrust Division (“DOJ”) highlight the factors companies should consider when developing and implementing antitrust compliance programs. Effective antitrust...more

Thomas Fox - Compliance Evangelist

Language as a Long Term Compliance Strategy

I constantly rely on Jay Rosen and his team at Merrill Brink for translation and other language related services in the compliance portion of my work. (Yes I do practice law and compliance for a living; I blog for gratis.) ...more

NAVEX

Misplaced Confidence in Ethics & Compliance Training Program Effectiveness? Survey Shows Startling Disconnect

NAVEX on

When respondents to the NAVEX Global 2014 Ethics & Compliance Training Benchmark Survey were asked whether each employee in their organization received the ethics and compliance training they need, 75 percent either “agreed”...more

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