News & Analysis as of

Chief Compliance Officers

Michael Volkov

Episode 42 -- How to Manage Your CEO on Compliance

by Michael Volkov on

An increasing number of chief compliance officers report directly on a monthly basis to the Chief Executive Officer. As the compliance profession has earned independence and empowerment, CCOs are now part of the C-Suite and...more

Thomas Fox

Tribute to Red Schoendienst and Managing Your Middle Act

by Thomas Fox on

One of the areas little commented on for Chief Compliance Officer’s(CCOs) is what to do in their ‘middle act’; meaning after they have come into an organization to deal with the issue(s) that brought them into the fold. ...more

Michael Volkov

Leadership Support Provides Compliance Credibility

by Michael Volkov on

We often hear the compliance refrain on the importance of tone-at-the-top – meaning when the board, the CEO and senior executives demonstrate by communications and by conduct their commitment to a culture of ethics and...more

NAVEX Global

Financial Controls Require the Right Mix of Internal Controls & Human Oversight

by NAVEX Global on

Ethics and compliance officers talk constantly about the importance of corporate culture, ethical values, and a strong tone at the top; and we should. You can’t have an effective corporate compliance program without them....more

Michael Volkov

The Vital Role of Internal Audit to Compliance

by Michael Volkov on

A chief compliance officer can only succeed with the support of other important compliance partners. Another way to put it – in the words of Blanche Dubois from A Streetcar Named Desire, “I have always depended on the...more

Thomas Fox

12 O’Clock High-Gini Dietrich on Learning to be a Strategic Thinker

by Thomas Fox on

One of the challenges many compliance practitioners face when they move up in their careers is to move from tactical to strategic thinking. It is a requirement for any Chief Compliance Officer (CCO) to be able to think...more

Alston & Bird

SEC’s Recent AML Enforcement Actions: No Need for CCOs to Panic

by Alston & Bird on

Our Financial Services & Products Group examines a recent harsh Securities and Exchange Commission settlement for a broker-dealer and its chief compliance officer for failing to file suspicious activity reports....more

Bryan Cave Leighton Paisner

Implementing strong corporate compliance programs – necessity rather than nicety?

by Bryan Cave Leighton Paisner on

No matter the industry, maintaining effective corporate compliance programs has never been a more essential part of operations to address the legal risks that corporates face. This article, the third in a series about...more

JD Supra Perspectives

Q&A With Tom Fox On His New Book, 'The Complete Compliance Handbook'

by JD Supra Perspectives on

Compliance Evangelist Tom Fox's new book it out - here's what learned about it from the author himself....more

Pillsbury Winthrop Shaw Pittman LLP

DOJ to Coordinate FCPA Enforcement With Foreign Law Enforcement Agencies

New policy seeks to reduce the burden of navigating anti-corruption investigations and enforcement actions by multiple authorities. The new DOJ policy seeks to increase coordination on FCPA and related anti-corruption...more

Foley & Lardner LLP

The Twelve Compliance Steps Every Multinational Corporation Should Undertake in Light of Recent Trump Administration Enforcement...

by Foley & Lardner LLP on

Over the last month, regulators with the Trump administration sent a loud message to companies subject to U.S. jurisdiction: Enforcement of laws governing international activities is alive and well and the laws will continue...more

Proskauer - Government Contractor Compliance...

OFCCP Issues “Town Hall Action Plan” Announcing Three Initiatives

On May 1, 2018, the OFCCP issued a Town Hall Action Plan (the “Plan”). The Plan is the result of OFCCP’s “town hall meetings” held in late 2017 and early 2018, which were conducted in order to address the findings of the...more

Thomas Fox

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

by Thomas Fox on

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

Thomas Fox

10 Hallmarks of an Effective Compliance Program - #7 Third Parties

by Thomas Fox on

Episode 7 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. Hallmark # 7: Third Parties....more

Proskauer - Private Equity Litigation

Voluntary Remediation and the SEC: Six Key Elements and Three Potential Pitfalls

A recent settled SEC order, In re Arlington Capital Management, Inc. and Joseph F. LoPresti, highlights the potential benefits of voluntarily taking steps to remediate conduct or practices that could run afoul of the SEC’s...more

Perkins Coie

Will Your Antitrust Compliance Program Detect a Violation?

by Perkins Coie on

The Antitrust Division of the U.S. Department of Justice (DOJ) hosted a roundtable discussion on criminal antitrust compliance programs recently. Lawyers from corporate law departments and law firms, as well as from foreign...more

Ruder Ware

Office Inspector General Launches New Compliance Resource Portal

by Ruder Ware on

At a recent Health Care Compliance Association (HCCA) compliance institute, the Office of Inspector General announced it had launched a new resource portal focused on compliance issues. A trip to the OIG's web site, and sure...more

Thomas Fox

CCO Leadership in an Age of Dynamism

by Thomas Fox on

One of the most constant things about the compliance profession is its dynamism. Compliance programs are not static and the compliance profession is not static. Today’s cutting edge in compliance will be tomorrow’s best...more

Michael Volkov

FCPA Compliance: When a Foreign Official is a Third-Party (Part II of V)

by Michael Volkov on

Compliance officers are trained to spot risks. They have an eagle eye and keen sensitivity. In some cases they have to overcome inaccurate designations – my favorite is a “PEP,” a politically exposed person. ...more

Thomas Fox

Farewell to Barbara Bush: The Role of a Compliance Committee Chair – Part II

by Thomas Fox on

The role of a Chief Compliance Officer (CCO) is that of a doer. However, if you move up to the Board of Directors and become the Compliance Committee Chair, your role changes. ...more

Jones Day

Anti-Corruption Regulation Survey of 41 Countries 2017–2018

by Jones Day on

Welcome to the 2017-2018 edition of the Jones Day Anti-Corruption Regulation Survey. In 2017 and 2018 to date, there has continued to be an increasing awareness among multinational companies of the significance of...more

Thomas Fox

Farewell to Hall Greer: The Role of a Compliance Committee Chair – Part I

by Thomas Fox on

I continually advocate that a Boards of Directors should include a compliance professional and that there should be a Compliance Committee Chair on the Board, handling ethics, compliance, #MeToo and other reputational issues,...more

Michael Volkov

CCOs and Compromising Positions

by Michael Volkov on

The chief compliances officer is the guardian of a company’s most important intangible asset – its culture. Everyone at a company is responsible for a company’s culture; the board of directors, CEO, senior executives play an...more

Womble Bond Dickinson

Environmental, Social and Governance (ESG) and Impact Enter the Board Room

by Womble Bond Dickinson on

[co-author: Mark Newberg, Director of Impact Strategies] Recently, Larry Fink, the CEO of BlackRock, the world’s largest asset manager, took a noteworthy step in an open letter he wrote to the CEO’s of all publicly traded...more

Michael Volkov

The New Test for CCOs

by Michael Volkov on

These are inspiring times for the compliance profession. Looking back on the last ten years, it is amazing to observe the growth and influence of the compliance profession. Many of the original advocates for the compliance...more

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