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Chief Compliance Officers

Holmes, Innovation & Compliance: Part V – The Digital Future

by Thomas Fox on

I conclude my week-long exploration of the intersection of Sherlock Holmes, innovation and compliance by asking: is your compliance function ready for a digital future?...more

District Court Upholds OSHA’s Refusal To Permit Compliance Officer’s Testimony In Personal Injury Case

by Seyfarth Shaw LLP on

Seyfarth Synopsis: OSHA may refuse to allow its compliance officers to testify in civil tort proceedings....more

Holmes, Innovation & Compliance: Part III – CCO as Data Translator

by Thomas Fox on

I continue my innovation themed blog week, overlaid with a Sherlock Holmes premise. Today I use The Adventure of the Speckled Band to introduce the topic of the Chief Compliance Officer (CCO) as a data translator. ...more

10 Hallmarks of an Effective Compliance Program - #1 Top Management Through the Organization

by Thomas Fox on

Episode One of a ten-part series for compliance professionals. In this new series of audio white papers, Thomas Fox looks at the 10 Hallmarks of an Effective Compliance Program. Material in this audio white paper is...more

SEC Announces 2018 Compliance Outreach Program Seminar for Investment Advisers and Investment Companies

On Tuesday, February 13th, the Securities and Exchange Commission (SEC) announced the opening of registration for its 2018 national compliance outreach seminar for investment companies and investment advisers. The event is...more

SEC's OCIE Announces 2018 Areas Of Focus

On February 7, 2018 the SEC's Office of Compliance Inspections and Examinations (OCIE) announced its 2018 National Exam Priorities. The priorities, formulated with input from the Chairman, Commissioners, SEC Staff and fellow...more

Whether We Like It or Not, There Is a Different Culture at the Top

by NAVEX Global on

Years ago, before Enron and the avalanche of business ethics scandals that followed, there was a theory that predicted who was most likely to violate company ethics and compliance policies. According to the theory, mid-level...more

Size Matters…and Other Compliance Myths

The recently released Society of Corporate Compliance and Ethics 2017 Compliance and Ethics Officer and Staff Salary Survey contains a host of interesting CCO and other compliance personnel compensation information. Also...more

Foreign Corrupt Practices Act Enforcement: 2017 Year-in-Review

by Bryan Cave on

Enforcement of the Foreign Corrupt Practices Act (FCPA) again remained a high priority for the Department of Justice and the Securities and Exchange Commission in 2017, resulting in 11 companies paying over $1.92 billion to...more

Directors Need to Step Outside the Boardroom on the Issue of Sexual Harassment

by NAVEX Global on

As we’ve highlighted in our ongoing You Can’t Delegate Ethics campaign, sexual harassment is not a compliance issue, it is an abuse of power issue. It can also be a neglect of power issue. It’s what happens when good people...more

Resources, Resources, and More Resources – The True Test of an Effective Ethics and Compliance Program

by Michael Volkov on

An effective ethics and compliance program depends on the Chief Compliance Officer’s authority, independence, and resources. A company’s commitment to a compliance program requires money and employees – there is no question...more

New Revenue Recognition Standard - Audio White Paper for Compliance Officers

by Thomas Fox on

An audio white paper deep dive into the New Revenue Recognition Standard issued by FASB. In five chapters, compliance leaders Tom Fox and Matt Kelly look at all aspects of the revenue recognition standard, and what it means...more

Memo: Wells Fargo, Put a Compliance Professional on your Board

by Thomas Fox on

After almost two years, you might think that Wells Fargo, its senior management and Board of Directors would have gotten the message from its regulators to take its compliance obligations seriously, remediate and put ethics...more

Corporate Anticorruption Compliance Programs: Ten Questions Every Board Director Should Ask

by Jones Day on

The United States Department of Justice, the U.S. Securities and Exchange Commission, and non-U.S. governments and agencies have recently emphasized their continued commitments to pursuing both corporate and individual...more

Criminal Enforcement Against Senior Executives: The Fish Rots from the Head

by Michael Volkov on

The compliance community is well aware of the risks in the C-Suite. As you move up the corporate ladder, the level of risk from executive misconduct increases. A rotten executive can quickly bring down a company, destroy...more

Convergence of Cultural Styles to Move the Needle Forward

by Thomas Fox on

I continue my exploration of how to change the culture in an organization based upon a series of articles in the most recent edition of the Harvard Business Review (HBR) by Boris Groysberg, Jeremiah Lee, Jesse Price and J....more

Changing a Corporate Culture

by Thomas Fox on

Culture trumps strategy. That phrase is well-worn for a reason. Think about every major corporate failure you can recall; Uber, Wells Fargo, Volkswagen, FIFA or you name the scandal and there was a failure of corporate...more

Compliance and Creative Problem Solving

by Thomas Fox on

One of the big differences in a corporate compliance function and in-house legal department is that compliance is there to prevent, find and fix problems while the legal department exists to protect a company from the...more

Globalizing Your Compliance Program

by Ropes & Gray LLP on

Multinational companies continue to face intense enforcement scrutiny related to their global compliance practices by oversight authorities worldwide. These companies rely heavily on local regulatory developments, evolving...more

What Sherlock Holmes Teaches Compliance Practitioners

by Thomas Fox on

A Study in Compliance....more

What Lies Ahead? Q1 2018 Investment Management Regulatory Updates and Reminders

by Dorsey & Whitney LLP on

As we start the New Year, we would like to remind our clients of certain regulatory developments and upcoming deadlines for Q1 2018. New Form ADV - The new Form ADV takes a deeper dive by requiring additional...more

Renewing Corporate Vows to the Chief Compliance Officer

by Michael Volkov on

The chief compliance officer is at an important professional juncture – 2018 is an important year for the profession. In this era of growth, and after corporate tax relief, companies have an opportunity to invest increased...more

Rethinking Stakeholder Engagement for the New Millennium

by Thomas Fox on

What does stakeholder engagement mean in the 21st century? How has the topic gained such traction over the past few years? What is the role of the compliance professional in stakeholder engagement? How does increased...more

Do You Want to See the Report That an OFCCP Compliance Officer Must Complete on Your Audit Before It Can Be Closed?

In order to close an Office of Federal Contract Compliance Programs (OFCCP) evaluation, a compliance officer (CO) must complete the Standard Compliance Evaluation Report (SCER) Form. The SCER is an internal OFCCP document...more

King Arthur, the Roundtable, and Modern Day Lessons for Compliance Officers

by Thomas Fox on

How the Arthurian legends inform your modern-day compliance program....more

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