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The Volkov Law Group

The Compliance “Curse” — Learning to Compromise Principles

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Compliance lessons are life lessons.  Compliance professionals are, by their nature, optimistic people. They see challenges as new opportunities to strive closer to an ideal.  Compliance professionals live in the shadow of...more

Dentons

Ep. 9 - Building a Compliance Dream Team

Dentons on

Most healthcare providers understand the importance of having a designated Compliance Officer.  Someone needs to lead the organization’s compliance initiatives and be responsible for advising the CEO and governing body of...more

Thomas Fox - Compliance Evangelist

Compliance Leadership in the 2025 and Beyond

All leadership in the 21st century is undergoing a significant transformation. Traditional leadership styles and models are no longer adequate for the complex and rapidly changing world we find ourselves in. This was the key...more

The Volkov Law Group

Fasten Your Seatbelt: An Important Message on Proactive Compliance

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I’m old enough to remember when seat belts were optional. And I remember people up in arms when seatbelt laws first passed. But now, my young adult children and their friends simply get in the car and buckle up without...more

The Volkov Law Group

A Compliance Imperative – Breaking Down Silos

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The famous swashbuckling adventure of The Three Musketeers should inspire chief compliance officers to pursue an important concept – the need for teamwork and collaboration is imperative for all compliance programs.  We all...more

The Volkov Law Group

Building a Compliance Dashboard (Part I of II)

The Volkov Law Group on

This is a topic that every compliance professional has to address in one form or another.  Chief compliance officers are so busy that they often cannot even take the time to tackle this difficult issue.  This is a real...more

The Volkov Law Group

Compliance Program Monitoring: Leveraging Data and Analytics (Part III of IV)

The Volkov Law Group on

Chief compliance officers are visionaries.  They define a vision with multiple objectives and then they execute on that vision.  At all times, CCOs have to maintain that vision and adjust as circumstances change.  By...more

The Volkov Law Group

Compliance Titles and Responsibilities

The Volkov Law Group on

Let me start with yet another profound grasp of the obvious — leadership requires many important interpersonal and intellectual capabilities.  I do not intend to list the important ones right now but leadership requires an...more

The Volkov Law Group

Compliance by Fear: An “Old” Mindset

The Volkov Law Group on

Compliance by fear is not an effective strategy for promoting the purposes of a compliance program – to enhance a company’s ethical culture and compliance performance, and to prevent and deter misconduct. A proper calculation...more

The Volkov Law Group

The Critical Relationship — Compliance and Business

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Compliance officers and business managers need each other, whether they like it or not. The CCO has to enlist the business to own and take responsibility for compliance.  Compliance cannot ensure compliance throughout an...more

The Volkov Law Group

When a CCO Fails to Speak Up

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We often discuss the importance of a “Speak Up” culture.  We encourage employees to report their concerns, we emphasize the important of such reporting to the life of an organization....more

The Volkov Law Group

Where There is No Will, There’s No Way: The Bottom Line for Chief Compliance Officers

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You can draft and design the best ethics and compliance program – and then fail.  You can show every compliance professional an “effective” set of ethics and compliance controls, pristine, drafted elegantly, addressing each...more

The Volkov Law Group

CCOs and Expertise in Risk Management

The Volkov Law Group on

Chief compliance officers (CCOs) are talented professionals.  As Donna Boehme always emphasizes, CCOs are subject matter experts (SMEs) in compliance risks, controls and mitigation.  CCOs focus on legal and compliance risks...more

The Volkov Law Group

CCOs Have a Target on Their Backs: The Coming Storm (Part III of III)

The Volkov Law Group on

I have always played down the issue of CCO liability and prosecutions. I dismiss these concerns often because the reporting of CCO prosecutions are usually exaggerated and meant to instill fear in compliance professionals. ...more

The Volkov Law Group

Troubling Trends: The CCO’s Authority, Independence and Access to Resources (Part II of III)

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While my first posting highlighted the positive developments in the CCO’s role and professional development, the next two postings present troubling concerns....more

The Volkov Law Group

The State of the Chief Compliance Officer: Looking Back and to the Future (Part I of III)

The Volkov Law Group on

To start the New Year, it is a good idea to review the trends in the role and status of Chief Compliance Officers.  As we witness the continuing growth in stature of the CCO, we need to exercise caution.  Some troubling...more

Society of Corporate Compliance and Ethics...

[Virtual Event] 2021 Southern California Regional Compliance & Ethics Conference - January 22nd, 8:25 am - 5:30 pm PST

Our Virtual Regional Compliance Conferences provide updates on the latest news in regulatory requirements, compliance enforcement, and strategies to develop effective compliance programs. Watch, listen, and ask questions from...more

The Volkov Law Group

Companies and Change: A CCO Challenge

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Corporations are slow to change. Unless forced by government prosecutors or regulators, companies inherently resist change, even when such changes can make a business more profitable. ...more

Thomas Fox - Compliance Evangelist

Overcoming the Imposter Syndrome

Mary Shirley, in several episodes of the Great Women in Compliance podcast (co-hosted with Lisa Fine), has brought up the “Imposter Syndrome”. What is the Imposter Syndrome? Gill Corkindale, writing in the Harvard Business...more

Thomas Fox - Compliance Evangelist

Originating a Compliance Ecosystem

I have been thinking quite a bit about the future of the corporate compliance function. Our profession seems to be an inflection point, moving away from the lawyer-driven written policies and procedures to a more...more

Thomas Fox - Compliance Evangelist

The Elements of Good Judgment: Part 3

Today, I conclude the topic of judgment for compliance professionals. I recently read a Harvard Business Review (HBR) article on the topic by Sir Andrew Likierman, entitled “The Elements of Good Judgment: How to Improve Your...more

Mitratech Holdings, Inc

7 Essential Compliance Management Activities

Now that the sugar and the frivolity of the holiday season have worn off, let’s talk more about the different types of compliance management activities that will ensure your obligations are met, and some of the specific needs...more

The Volkov Law Group

The Future of Compliance: Re-Branding Compliance from Reactive to Proactive (Part I of III)

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As everyone knows, I am an eternal optimist.  Being a cynic always leads to negative energy and results.  As a former federal prosecutor, I am deeply committed to the idea of doing the right thing....more

Thomas Fox - Compliance Evangelist

New Year, New Compliance Game Plan

With a new year, many folks have been promoted to the CCO chair. What should be your plan starting the new year and a new job. The answer is found in the  eBook Compliance Program Game Plan by myself and Jonathan Marks. ...more

Thomas Fox - Compliance Evangelist

Bridging the Gap in Compliance: Tribute to Irv Noren

From the HR and compliance perspective, there are four steps to undertaking a gap analysis: 1) understanding the compliance and HR environment in your organization; 2) taking a holistic approach to understanding the...more

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