Conducting Healthcare Compliance Investigations
Third Party Ethical Audits
Tying Corporate Compliance & Ethics Week to Your Values
Patty Houser on Supplier Codes of Conduct
Abdul Rahman Al Jaabari on a Virtual Reality Code of Ethics & Business Conduct
Susan Roberts on Creating a Compliance Program Book
Cheryl Curbeam on Creating a Compliance App
Compliance Perspectives: Simplifying the Code of Conduct
Employment Law Now IV-65- The Great Debate Part 2: Employee Lawyer vs. Employer Lawyer
Compliance Perspectives: The Impact of Workplace Loneliness
Compliance Perspectives: Compliance and Technology
Compliance Perspectives: Rolling Out New Compliance Initiatives
Podcast - Risk Mitigation & Management: Bringing a Compliance Program to Life
Day 3 of One Month to 360-Degrees of Communications in Compliance-The D&B Experience
I-17 – Engaging Your Employees in Today’s Workplace, Featuring Rick Turner at Whirlpool Corporation
Operationalizing Compliance Through Your Tone in the Middle
Day 17 of One Month to Better Compliance Through HR-Using HR to Create an Ethical Culture
Day 15 of One Month to Better Compliance Through HR-Employment Separation Issues
Day 11 of One Month to Better Compliance Through HR-the Fair Process Doctrine
FCPA Compliance and Ethics Report-Episode 255-revising your Code of Conduct
If there ever is an example of a rotten corporate culture, Wells Fargo sits at the head of the class. Since Wells Fargo’s sales pressure scandal, Wells Fargo has continued to suffer from a string of scandals and misconduct. ...more
Looking for compliance training and networking in your area? SCCE’s Regional Compliance & Ethics Conferences offer practitioners convenient, local compliance training, including updates on the latest news in regulatory...more
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
Attend SCCE’s annual conference for those who manage compliance at higher education institutions. Learn best practices and strategies, ask questions of the speakers, and share ideas with other attendees. The 2021 virtual...more
Today, I continue a multi-part exploration of one world’s largest anti-corruption enforcement actions, the J&F Investimentos SA (J&F) matter. It involved huge fines and penalties in both Brazil and the United States. Of...more
Companies have been moving at breakneck speed to respond to the COVID-19 pandemic. As a compliance professional, you’ve been there: from work-from-home and planning to go back to work, to layoffs and furloughs, to sales...more
After 15 years of heavily contested litigation, the United States Court of Appeals for the Seventh Circuit recently put the kibosh on antitrust claims arising out of the futures trading market. The decision in U.S. Futures...more
On 12 December 2019, the Department of Justice Antitrust Division (DOJ) announced that it has entered into a proposed consent decree with the National Association for College Admission Counseling (NACAC) settling charges that...more
The Situation: The Financial Conduct Authority ("FCA") is extending the Senior Managers and Certification Regime ("SMCR") to FCA solo-regulated firms on 9 December 2019 and has also released a number of statements in relation...more
The Hong Kong Securities and Futures Commission (SFC) has announced that it reprimanded and fined a Hong Kong private equity firm, SEAVI Advent Ocean Private Equity Limited (PE Firm), for employing or appointing unlicensed...more
The Department of Justice raised the stakes in spoofing enforcement actions by including racketeering charges in an indictment filed last week alleging spoofing by three traders over many years. The Commodity Futures Trading...more
The Enforcement Committee of the French Anticorruption Agency ("FAA") handed down its first decision on July 4, 2019. The decision follows the Agency's three-month audit (October to December 2017) of the involved company's...more
Federal US News - FTC Takes Action Against Companies Falsely Claiming Compliance With International Privacy Agreements - The FTC reached a settlement with a background screening company over allegations it falsely claimed...more
The SEC will vote today on what it’s calling Regulation Best Interest, “which says brokers can’t put their own paychecks ahead of a customer’s needs”—the more-industry-acceptable revision of an Obama-era fiduciary duty rule...more
As reflected in recent remarks by Deputy Attorney General Rod Rosenstein, the United States Department of Justice (DOJ) is “reinforcing its relationship with good corporate citizens” by coordinating with, and considering, the...more
European antitrust authorities have delivered a stinging rebuke to Google in the form of a $5.1 billion penalty over its Android operating system practices. The sum displaces last year’s $2.7 billion fine, also against...more
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
As more countries enter into the anti-corruption enforcement world, companies face exponential risks of detection and enforcement. Recently, Deputy Attorney General Rosenstein has commented on the need to avoid unfair...more
There is much for authorised firms to consider in the year ahead. Firms have been through the intensive period of the enactment of the second Markets in Financial Instruments Directive (MiFID II), but must now step up their...more
Last week I interviewed Susan Divers, Senior Advisor at LRN Corporation, on the company’s 2016 Ethics and Compliance Program Effectiveness Report (Report). The Report was a fascinating review of the evolution of compliance...more
Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK regulation for alternative asset managers. The start of 2017 saw a number of regulatory developments including...more
My good friend and colleague, Tom Fox, has written an interesting post on the SEC’s recent United Airlines settlement for $2.4 million for domestic bribery. As Tom has noted, the interesting aspect of the SEC’s enforcement...more
Earlier this week a most interesting non-Foreign Corrupt Practices Act (FCPA) bribery and corruption enforcement, actions was announced by the Securities and Exchange Commission (SEC). It involved a clear quid pro quo benefit...more
Wells Fargo’s cultural tone is not easily segregated between “top,” “middle” and “bottom.” Despite the recent cross-selling scandal, in which the CFPB led an enforcement action whose fines total a whopping $185 million,...more