News & Analysis as of

Chief Compliance Officers COSO

Society of Corporate Compliance and Ethics...

[Virtual Event] Compliance Risk Assessment and Management - July 29th - 30th, 8:00 am - 5:00 pm CT

Address risk proactively with effective risk assessments - Do you want to learn valuable strategies for identifying and mitigating risk in your organization—without the time and budget commitments of travel? This...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Compliance Risk Assessment and Management - February 20th - 21st, 9:00 am - 3:15 pm CT

Do you want to learn valuable strategies for identifying and mitigating risk in your organization—without the time and budget commitments of travel? This virtual workshop provides the information and insights you’re...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Compliance Risk Assessment and Management - September 27th - 28th, 9:00 am - 3:15 pm CT

Do you want to learn valuable strategies for identifying and mitigating risk in your organization? This virtual workshop will give you a comprehensive look at how to perform better compliance risk assessments — an...more

Society of Corporate Compliance and Ethics...

[Virtual Event] ESG and Compliance Conference - June 28th, 8:25 am - 4:30 pm CT

Achieve your ESG goals in 2023 - Environment, Social, and Governance (ESG) is a top priority for organizations of all types and sizes, and it the compliance team is a key factor in the ESG equation. Much like regulatory...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Compliance Risk Assessment and Management - April 11th - 12th, 9:00 am - 3:00 pm CDT

Get insight and guidance on conducting more effective risk assessments - Do you want to learn valuable strategies for identifying and mitigating risk in your organization? This virtual workshop will give you a...more

Society of Corporate Compliance and Ethics...

[Webinar] Members Exclusive: Applying the COSO ERM Framework to Compliance - May 19th, 12:00 pm - 1:30 pm CDT

Learning Objectives: - Understand the relationships between Enterprise Risk Management (ERM), Internal Controls, and Compliance & Ethics Programs - Learn practical applications of ERM to Compliance Risk Management -...more

Health Care Compliance Association (HCCA)

[Webinar] Members Exclusive: Applying the COSO ERM Framework to Compliance - April 14th, 12:00 pm - 1:30 pm CDT

Learning Objectives: - Understand the relationships between Enterprise Risk Management (ERM), Internal Controls, and Compliance & Ethics Programs - Learn practical applications of ERM to Compliance Risk Management -...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Applying the COSO ERM Framework to Compliance Risk Management - April 28th, 8:55 am - 3:30 pm CST

SCCE & HCCA have partnered with the Committee of Sponsoring Organizations of the Treadway Commission (COSO) to create guidance on the application of the COSO’s Enterprise Risk Management (ERM) framework to the management of...more

Thomas Fox - Compliance Evangelist

COSO Week – Objective V: Monitoring Activities

COSO was adopted in 1992 as a framework for basis to design and then test the effectiveness of internal controls. In 2010, it was deemed necessary to update this framework, to provide a more supportable approach when...more

Thomas Fox - Compliance Evangelist

COSO Week – Objective IV: Information and Communication

COSO was adopted in 1992 as a framework for basis to design and then test the effectiveness of internal controls. In 2010, it was deemed necessary to update this framework, to provide a more supportable approach when...more

Thomas Fox - Compliance Evangelist

COSO Week – Objective III: Control Objectives

COSO was adopted in 1992 as a framework for basis to design and then test the effectiveness of internal controls. In 2010, it was deemed necessary to update this framework, to provide a more supportable approach when...more

Society of Corporate Compliance and Ethics...

Compliance Perspectives: A New Tool for Applying the COSO ERM Framework to Compliance

There has been much discussion over the years about the relationship between enterprise risk management (ERM) and compliance risk management. Making the discussions more complex has been a tendency to approach risk management...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Applying the COSO ERM Framework to Compliance Risk Management - January 21st, 8:55 am - 3:30 pm CST

SCCE & HCCA has partnered with the Committee of Sponsoring Organizations of the Treadway Commission (COSO) to create guidance on the application of the COSO’s Enterprise Risk Management (ERM) framework to the management of...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Applying the COSO ERM Framework to Compliance Risk Management - December 18th, 8:55 am - 3:30 pm CST

SCCE & HCCA has partnered with the Committee of Sponsoring Organizations of the Treadway Commission (COSO) to create guidance on the application of the COSO’s Enterprise Risk Management (ERM) framework to the management of...more

Thomas Fox - Compliance Evangelist

The COSO ERM Framework

The COSO Enterprise Risk Management (ERM) Framework was released last week. It provides an excellent structure for compliance practitioners and businesses to think through the entire lifecycle of risk management....more

Thomas Fox - Compliance Evangelist

Compliance into the Weeds-Episode 40, COSO ERM Framework Update

In this episode Matt Kelly and I take a deep dive into the revisions to the COSO ERM Framework, which were based on comments by practitioners. We consider the role of culture and risk, the integration of the COSO ERM...more

Thomas Fox - Compliance Evangelist

Doing Compliance in an Economic Downturn

The city of Houston has seen a multi-year economic downturn from the drop in the price of oil. Every company in the energy space has been required to dramatically cut its work force, including unfortunately, it compliance...more

Thomas Fox - Compliance Evangelist

A COSO Look at Control Objectives

Brian Christensen, in an article in Corporate Compliance Insights (CCI) entitled “The Updated COSO Framework: Time for a Fresh Look at Internal Control”, said that the updated 2013 COSO Framework retained the core definition...more

Thomas Fox - Compliance Evangelist

Compliance and Mastering Strategy

One thing that is often difficult for Chief Compliance Officers (CCOs) is to look at compliance strategy rather than the tactical aspects of compliance. This is because it is usually the day-to-day aspects of doing compliance...more

Thomas Fox - Compliance Evangelist

Evolving Best Practices in FCPA Compliance Training

As Houston, TX, is the epicenter of Foreign Corrupt Practices Act (FCPA) enforcement, most energy companies in my hometown have mature compliance programs or at least more mature than in other industries, which have not gone...more

Thomas Fox - Compliance Evangelist

Highway 61 Revisited Week – Highway 61 and IRS Involvement in FCPA Enforcement

One of the most difficult stories of the Bible for me was always that of God and Abraham. But somehow this song explained it for me as it deals with some unusual problems that can be solved out on Highway 61, which is a...more

Thomas Fox - Compliance Evangelist

The BHP Case and Enforcement of The FCPA’s Internal Controls Provision

Ed. Note-today we have a guest post from Jean-Michel Ferat ,CPA, CFF is a Managing Director in the Washington D.C office of the Claro Group around his views on the BHP Billiton enforcement action. Much has been made in...more

The Volkov Law Group

Warning: Keeping Compliance Simple

The Volkov Law Group on

If you can’t explain it to a six-year-old, you don’t understand it yourself. — Albert Einstein - Compliance professionals are in a heady state these days. Their stock is rising; they are gaining influence and authority,...more

Thomas Fox - Compliance Evangelist

Is Strict Liability Coming to FCPA Enforcement?

I think that a strict liability standard is coming to Foreign Corrupt Practices Act (FCPA) enforcement. A number of factors have caused me to come to this conclusion. While there may well be wide disagreement as to whether...more

Thomas Fox - Compliance Evangelist

Farewell to Mr. Spock and Risk Assessment Under COSO

Leonard Nimoy died last Friday. He will be forever associated with the role of Mr. Spock in the original Star Trek television show which premiered in 1966. The original series ran for only three years but had a full life in...more

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