News & Analysis as of

CEOs Compliance

GE, Corporate Jets and Compliance

by Thomas Fox on

When do a corporate jets become a compliance issue? That is perhaps one question that is being asked at General Electric (GE) since the revelation came to light that during the tenure of the former Chief Executive Officer...more

With Zenefits Settlement Award SEC Demonstrates Continued Commitment to “Unicorn” Scrutiny Despite Administration Change: Same Old...

Last week the SEC announced it had reached an agreement with privately-held company Zenefits, and its co-founder and former CEO Parker Conrad, to settle allegations that Zenefits materially misled Series B and C investors....more

What a CEO Needs to Hear to Invest More in Compliance – Strategy

by NAVEX Global on

Does your organization invest in compliance, or just pay for it? This is not a rhetorical question. There’s a big difference between merely covering the expense of a program and investing in it. Investment decisions are...more

Poor Performing CEOs and Boards and Compliance Disasters

by Michael Volkov on

The business headlines are filled with the latest corporate scandal – Uber’s defective culture, CEO misconduct and reprehensible comments by supervising board members. Uber is just one of several significant companies caught...more

Compliance Lessons From Uber: Takeaways for Tech Startups

by Nilan Johnson Lewis PA on

While the media has widely covered the resignation of Uber’s CEO Travis Kalanick, it has largely ignored important lessons that tech startups can draw from Uber’s experience. In fact, the series of events leading up to...more

Character from the Top: An Interview with Fred Kiel

by NAVEX Global on

Fred Kiel and his team at KRW International spent seven years studying almost 100 CEOs, their executive staff and their employees. The goal? – To devise and implement a quantifiable way to answer the question: Does a leader’s...more

This Week in FCPA- Episode 52, for the week ending May 12, the Firing the Investigators Edition

by Thomas Fox on

1. What is the real risk in a FCPA enforcement action? See Mike Volkov’s post in Corruption, Crime and Compliance. 2. FIFA fires its lead internal investigators for doing their job investigating. See Tom’s article in...more

The Compliance Profession and the Demand for “Results”

by Michael Volkov on

Compliance professionals are riding high. They are the darlings of the corporate governance world, commanding higher salaries, C-Suite positions with access to senior leadership and the board, and an empowered position within...more

Four Essential Leadership Behaviors

by Thomas Fox on

The role of any leader should be engagement, engagement and then more engagement. By understanding the needs of your key stakeholders and incorporating that into your solution or initiative you will have your team on board...more

Beneficial Ownership Due Diligence Requirements

by Michael Volkov on

The new FinCEN regulations requiring financial institutions to secure beneficial ownership information is fast approaching – May 2018. The US has been way behind in this regulatory area. As a result, money-laundering activity...more

Compliance Budgeting – Put Your Money Where Your Mouth is

by Ruder Ware on

You have adopted your basic compliance policies and procedures, established a reporting system and visibly rolled out your new compliance program. Your board of directors has passed a resolution decisively stating its...more

Lessons on Culture and Trust from Military Strategy

by NAVEX Global on

Last month we introduced an occasional series of posts about organizational trust: what it is, how it helps a business succeed, why trust is declining these days, and how companies can nurture a rigorous ethical culture based...more

Will Culture Change at Uber Before It’s Too Late?

by Thomas Fox on

What happens when a company delivers a superior product or service which is enthusiastically embraced by the consuming public, has a contented, if not equally enthusiastic, public facing work force and the business itself...more

Startup Culture Seems to Be Missing One Key Ingredient—Culture

by NAVEX Global on

Sometimes when I read tales of startups riddled with problems of corporate culture and poor conduct, I want to grab the founders by their shoulders and shout, “You’re doing it wrong!” I suspect I’m not alone among compliance...more

What Does the "Good News Cocoon" Mean to Business & Compliance?

Recently, I had the pleasure of engaging with compliance and business leaders in Europe and Asia. It’s an honor to be traveling again, and to hear about ethical and compliance challenges from those who work in the middle of...more

A New Resource for the Modern Compliance Professional

by NAVEX Global on

There is a knowledge gap among compliance professionals, and it’s not due to a lack of information. In fact, the main culprit may be too much information located in too many disparate places. Our industry is continuously...more

New Attorney General Issues Guidance on Corporate Compliance Programs

by Foley & Lardner LLP on

The US Department of Justice (DOJ) Fraud Section has published new guidance for corporate entities on corporate compliance programs. The guidance, titled, “Evaluation of Corporate Compliance Programs” (Compliance Program...more

When Will Shareholders Force Boards to Do Compliance?

by Thomas Fox on

Today we honor one of the most iconic moments of World War II (WWII) and one of the most famous photographs of all time, that of the Marines raising the US flag on Mount Suribachi on the island of Iwo Jima. Marine...more

Revenge of the Whistle-blower: Possible Consequences of Compliance Failures

In a company with a robust compliance culture, potential whistleblowers can express their concerns without fear of retribution. By contrast, the penalty for a culture that silences whistleblowers just got steeper. Companies...more

External Perception of Your Internal Culture Is a Big Deal: What Uber’s Problems Have Taught Us about Reputation

by NAVEX Global on

Ethics and compliance officers might often feel like your company’s corporate culture gets tied into knots, with so many groups imposing demands on your organization’s behavior. But really, a better turn of phrase here...more

Walking the Walk and Talking the Talk – A CEO’s Commitment to Ethics and Compliance

by Michael Volkov on

The phrase tone at the top is becoming trite. Compliance professionals use it over and over, and few people explain how to apply the concept. Speakers and webinar presenters always gloss over tone at the top, emphasizing...more

Understanding the Benefits of Benchmarking & How to Do It Successfully

by NAVEX Global on

To begin, let’s define “benchmarking.” There is often confusion regarding the difference between benchmarking and assessment. ...the process of benchmarking is a subset of compliance program assessment....more

The Power of Honesty – A Candid Assessment of Your Compliance Program

by Michael Volkov on

The secret of life is honesty and fair dealing. If you can fake that, you’ve got it made.  Groucho Marx - We are all taught the importance of honesty. But there are very different aspects to this otherwise simple...more

Compliance Expertise Needed on the Board

by Thomas Fox on

This week I have been exploring the different types compliance committee’s which an organization can utilize to help effect a best practices compliance program. I have written about compliance committee’s at the Board of...more

On Leadership – A Simple Message and Asking the Right Questions

by Thomas Fox on

Sometimes, as a leader it is important to say something numerous times, to repeat your message so that it will come through loud and clear. For any Chief Executive Officer (CEO) it is incumbent to continually reinforce your...more

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