Episode 337 -- Nicolas Garcia, GC at Orica, on Compliance Trends and Challenges in Latin America
Implications of the SEC Cybersecurity Disclosure Rule
The Privacy Insider Podcast Episode 4: Don't Be Evil: In the Hot Seat of Data Privacy, Part 1
Privacy Issues from Third-Party Website Tags
Episode 331- NAVEX State of Risk and Compliance Programs
What the Board Should Be Asking About the Compliance Program
Managing Social Media Risk
Compliance Lessons from Dating in Your 50s
Managing Compliance Risk for Human Trafficking and Modern Slavery
Common Scenarios Triggering False Claims Act Violations, Part 3: Claims and Investigations
False Claims Act Insights - The Art and Science of Corporate Compliance in Managing FCA Risk
Preparing for a Government Healthcare Audit
Episode 318 -- LRN's Recent Study Underscores Importance of Ethical Culture and Values-Based Leadership
Understanding the HHS OIG’s General Compliance Program Guidance
Climate Risk, the emerging risk
What's Going on with FCPA?
Compliance, Project Management, and Process Improvement
Leaning in on AI in Compliance Programs
PODCAST: Williams Mullen's Gavels & Gowns - Title IX Regulations - Changes on the Horizon
Episode 312 -- Eddie Green, CEO SnippetSentry, on Communications Preservation Risks
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
One of the great things about having a podcast network is that I get to not only explore topics that I love but I get to tie them into compliance. Perhaps the best example is my award-winning series, Trekking Through...more
The 1st Annual ACI’s Women in AML and Economic Sanctions provides an opportunity to learn and engage with legal and compliance professionals during 1 ½ days of valuable discussion....more
In-person is back! Join us in Amsterdam for the 2023 European Compliance & Ethics Institute! Strengthen your compliance and ethics program by attending our 11th annual European Compliance and Ethics Institute, 20-22 March...more
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
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
Sometimes compliance issues are simple. Most times they are nuanced. This is a simple issue but it carries with it a significant message. So here goes – where is the CCO’s office?...more
I am exploring in some depth what I see are the key changes for the Chief Compliance Officer (CCO), compliance professional and compliance programs as we move to reopening the country and world for business from the...more
Today begins the Memorial Day Weekend, the traditional start of Summer. This year is very different as I will not be going anywhere over this weekend or for the foreseeable future due to the coronavirus health crisis....more
I thought about these concepts surrounding the legend of the Round Table when I read a recent article in the Harvard Business Review (HBR), entitled The Agile C-Suite by Darrell K. Rigby, Sarah Elk and Steve Berez. It...more
Chief compliance officers are heroes. They labor every day to advance a company’s ethics and compliance program without much recognition, with few resources, and with well-known gaps in their programs....more
Most experts agree that whichever regulatory jurisdiction an organisation is subject to, there are five common fundamentals involved in providing effective corporate compliance....more
The Houston Astros sign-stealing scandal is only going to get worse and worse. In addition to the report by Wall Street Journal (WSJ) of the “Dark Arts” program by the Astros front office to steal signs in a program called...more
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
The path of the compliance profession has been remarkable. Recently, I have seen a number of tweets and postings from compliance thought leaders touting the accomplishments of compliance and the transformation of the...more
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
I recently had the chance to sit down with Mikhail Reider-Gordon, Managing Director of Global Affairs at Affiliated Monitors, Inc. (AMI), for a five-part sponsored podcast series. We touched on various aspects of...more
As a Chief Compliance Officer (CCO) one of the most powerful tools you have is persuasion. Jenny O’Brien, CCO at UnitedHealthcare, has talked about the techniques that a CCO can use to influence decision making in a company...more
Building and transforming through purpose can help lay the groundwork for moving toward not only a more ethical culture but an environment where trust permeates the organization. Compliance can step to not only build on this...more
Over this week, I have reviewed stories from The Casebook of Sherlock Holmes, mining each story for themes and lessons related to the compliance professional, leadership and business ethics. In today’s fifth and final...more
A fundamental requirement for an effective ethics and compliance program is that it is supported by “adequate resources.” This does not mean a bare minimum requirement; nor is this requirement satisfied by flat-lining a...more
Maybe I am getting slow in my old age – or just maybe I am losing a step or two. We all face that inevitable question – and perhaps, for me, it is best illustrated when I come up with yet another in my series of profound...more
Over the last two blogposts, I have been exploring what gives a leader credibility; what gives a Chief Compliance Officer (CCO) credibility; what gives middle manager credibility and finally why would employees follow any...more
What gives a leader credibility? What makes a Chief Compliance Officer (CCO) credibility? What gives a middle manager credibility?...more
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