News & Analysis as of

Chief Compliance Officers Compliance Corporate Governance

Society of Corporate Compliance and Ethics...

[Webinar] Trends in Global ESG Regulations and Their Impact on Corporate Reporting - September 18th, 12:00 pm CT

Target Audience - Compliance Professionals with detailed knowledge in an area. Such persons are often at a mid-level within the organization, with operational or supervisory responsibilities, or both....more

The Volkov Law Group

The Importance of Compliance Independence

The Volkov Law Group on

The issue was a professional debate over the reporting relationship between the chief compliance officer (CCO) and the chief legal officer (CLO)/general counsel. After 20 years of debate, CCOs managed to sway the professional...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Compliance & Ethics Essentials Workshop - December 2nd - 5th, 8:00 am - 5:00 pm CT

Learn the key principles of compliance - no travel required! If you’re new to or have minimal experience in compliance management don’t miss this opportunity to build the foundational knowledge you need! SCCE’s four-day...more

Thomas Fox - Compliance Evangelist

Bank of America’s Corporate Culture Crisis: Part 4 – A Tale of Metrics and Misalignment: Lessons for Compliance Professionals

Compliance professionals constantly seek to understand how systemic issues within corporate hierarchies can lead to severe consequences. The recent revelations about Bank of America’s (BoA) persistent workplace culture...more

Society of Corporate Compliance and Ethics...

Implications of the SEC Cybersecurity Disclosure Rule

In 2023 the US Securities and Exchange Commission adopted rules “requiring registrants to disclose material cybersecurity incidents they experience and to disclose on an annual basis material information regarding their...more

SEC Compliance Consultants, Inc. (SEC³)

How Much Testing is Enough?

Most compliance officers struggle to determine whether they are conducting enough testing to satisfy their obligations under the Advisers Act. In its release adopting Advisers Act Rule 206(4)-7, the SEC stated that an...more

The Volkov Law Group

The Compliance “Curse” — Learning to Compromise Principles

The Volkov Law Group on

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

Health Care Compliance Association (HCCA)

[Virtual Event] Healthcare Compliance Essentials Workshop - December 2nd - 5th, 8:00 am - 5:00 pm CT

Learn the key principles of compliance - no travel required! If you’re new to or have minimal experience in compliance management don’t miss this opportunity to build the foundational knowledge you need! HCCA’s four-day...more

Society of Corporate Compliance and Ethics...

[Virtual Event] ESG and Compliance Conference - November 7th, 8:00 am - 5:00 pm CT

Stay on top of ever-evolving ESG requirements and emerging trends - With the SEC’s newly issued rules surrounding ESG disclosures and the continued growth of regulations rolling out in the EU, Canada, Asia and elsewhere...more

Thomas Fox - Compliance Evangelist

Bank of America’s Corporate Culture Crisis: Part 1 – A Case Study in Failure

Compliance professionals constantly seek to understand how systemic issues within corporate hierarchies can lead to severe consequences. The recent revelations about Bank of America’s (BoA) persistent workplace culture...more

Thomas Fox - Compliance Evangelist

Internal Reporting and Investigative Lessons from Star Trek: The Conscience of the King

Last month, I wrote a blog post on the tone at the top, exemplified in Star Trek’s Original Series episode, Devil in the Dark. Based on the response, some passionate Star Trek fans are out there. I decided to write a series...more

NAVEX

[Virtual Conference] NAVEX Next 2024 - September 19th, 7:30 am - 3:30 pm ET

NAVEX on

13th Annual Risk & Compliance Virtual Conference | Thursday, September 19 - A thriving future begins with smart governance, risk and compliance decision-making today. Join thousands of your peers at this complimentary...more

Thomas Fox - Compliance Evangelist

Internal Control Lessons from Star Trek: The Doomsday Machine

Last month, I wrote a blog post on the tone at the top, exemplified in the Star Trek, the Original Series episode, Devil in the Dark. Based on the response, some passionate Star Trek fans are out there. I decided to write a...more

Society of Corporate Compliance and Ethics...

For better or for worse: Is your (non) compliance contagious?

Wouldn’t you like your compliance program to be as infectious, contagious, and as long-lasting as COVID-19? Forgive the analogy, but every compliance officer aspires to see their diligent efforts in establishing and...more

Society of Corporate Compliance and Ethics...

All together now: Post-acquisition compliance program integration

The due diligence process is a critical element in a merger and acquisition transaction. Most companies clearly define the steps and rarely skip them. However, the participants in the process vary widely, and ethics and...more

The Volkov Law Group

Episode 331- NAVEX State of Risk and Compliance Programs

The Volkov Law Group on

NAVEX delivers quality studies and important insights on ethics and compliance topics. In its 2024 State of Risk & Compliance, NAVEX provides a comprehensive report on current trends and practices involving risk and...more

Thomas Fox - Compliance Evangelist

Setting the Tone at the Top in Star Trek: Devil in the Dark

In the world of compliance, the tone at the top is paramount. It sets the stage for the organizational culture, influencing every business layer. As an award-winning compliance blogger, I often seek examples from popular...more

Society of Corporate Compliance and Ethics...

What the Board Should Be Asking About the Compliance Program

"What else should the board be asking about the compliance group?” It’s a good question in general and the tile of a session at the SCCE Compliance & Ethics Institute, which will be held September 22-25, 2024 in Grapevine,...more

The Volkov Law Group

NAVEX’s Report on the State of Compliance: Positive News with Serious Gaps Noted

The Volkov Law Group on

NAVEX delivers quality studies and important insights on ethics and compliance topics.  In its 2024 State of Risk & Compliance, NAVEX provides a comprehensive report on current trends and practices involving risk and...more

Society of Corporate Compliance and Ethics...

How a code of conduct reflects culture and meets DOJ requirements

Every compliance program begins with a code of conduct. The code of conduct expresses a company’s fundamental values and its commitment to living by them. Although a code of conduct is usually a very high-level document, it...more

Society of Corporate Compliance and Ethics...

The importance of explaining why

Writing, implementing, and enforcing strong compliance-related policies is critical to any compliance and ethics program. So, why do so many compliance failures occur due to breakdowns in internal controls?...more

Society of Corporate Compliance and Ethics...

Compliance Lessons from Dating in Your 50s

Michelle Nichols from the compliance team at Farmer Mac definitely wins the prize for the most unexpected title for a session at the 2024 SCCE Compliance & Ethics Institute: “How Dating in My 50s Made Me a Better Compliance...more

Dentons

Ep. 21 - Personalize Your Compliance Training

Dentons on

Undoubtedly one of the most important responsibilities of the compliance officer is compliance training. Your best defense to a compliance problem is well-trained staff who not only know the organization’s policies but also...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Compliance Auditing & Monitoring Conference - September 17th, 8:00 am - 5:00 pm CT

For a compliance program to be successful, it's essential to monitor performance on an ongoing basis, and periodically stop and audit your efforts. Join us on September 17, 2024 for the Compliance Auditing and Monitoring...more

Thomas Fox - Compliance Evangelist

Enterprise Risk Assessment: Essential Strategies for Compliance Professionals

An Enterprise Risk Assessment is fundamental to managing an organization’s strategic and operational landscapes. For compliance professionals, navigating the intricate world of risk can be particularly complex yet crucial. It...more

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