News & Analysis as of

Compliance Commitees

Farewell to Barbara Bush: The Role of a Compliance Committee Chair – Part II

by Thomas Fox on

The role of a Chief Compliance Officer (CCO) is that of a doer. However, if you move up to the Board of Directors and become the Compliance Committee Chair, your role changes. ...more

Farewell to Hall Greer: The Role of a Compliance Committee Chair – Part I

by Thomas Fox on

I continually advocate that a Boards of Directors should include a compliance professional and that there should be a Compliance Committee Chair on the Board, handling ethics, compliance, #MeToo and other reputational issues,...more

Operationalizing Compliance – Natural Partners and Breaking Down Walls (Part I of IV)

by Michael Volkov on

An effective compliance program is built on internal coordination and relationships. Applying the Justice Department’s terminology, an effective compliance program is one that is operationalized. At first glance, you may...more

Compliance Expertise Needed on the Board

by Thomas Fox on

This week I have been exploring the different types compliance committee’s which an organization can utilize to help effect a best practices compliance program. I have written about compliance committee’s at the Board of...more

The Board of Directors’ Compliance Committee

by Thomas Fox on

Yesterday, together with Baker Hughes Inc. (BHI) Chief Compliance Officer (CCO) Jay Martin, I wrote about a new and innovative compliance committee BHI has initiated, the GeoMarket Compliance and Ethics Committee. In...more

The Baker Hughes GeoMarket Ethics and Compliance Committee

by Thomas Fox on

Two of the most common compliance focused committees for public companies are those at the Board level and those which sit between the Chief Compliance Officer (“CCO”) and the Board, usually consisting of very senior...more

Blog: Ethics And Compliance Initiative Provides Guidance On Establishing High Quality E&C Programs

by Cooley LLP on

The Ethics and Compliance Initiative has released a report of its blue ribbon panel on the Principles and Practices of High-Quality Ethics & Compliance Programs, designed to provide practical guidance for companies that want...more

New “Guidance” from DOJ on Compliance

by Michael Volkov on

I am a positive person (anyone who has to say that raises doubts). At least I like to think I am. I am not yet sold on the wisdom of DOJ’s hiring of a compliance counsel....more

N.D. Illinois Grants Summary Judgment Against SOX Whistleblower

On August 26, 2015, the U.S. District Court for the Northern District of Illinois granted summary judgment on a whistleblower retaliation claim under Section 806 of SOX, holding that Plaintiff Ivor Hill failed to establish a...more

The Third Man and the Authority of Chief Compliance Officers

by Thomas Fox on

Harry Lime is back, although he really never left us. As reported by Kristin M. Jones in a Wall Street Journal (WSJ) article, entitled “Harry Lime Reborn”, the glorious British film noir The Third Man, written by Gra ham...more

[Webinar] Benchmarking Your Policy Management Program - May 21, 10:00am PT / 1:00pm ET

by NAVEX Global on

Join this free webinar to hear compelling survey results and answers to questions such as: What are organizations doing to address policy management today? What are E&C leaders’ top policy management...more

Bringing It All Home, the Two Tough Cookies Wrap It Up For You, Part III

by Thomas Fox on

So, now you’re ready to start your culture audit… Some key questions you want to ask before you start are: Do I have the support of Executive leadership? If not, go back to your E&C steering committee and work through...more

Gehrig’s Streak Ends And Compliance Week 2014 Is Near

by Thomas Fox on

Today we celebrate greatness in two areas. The first is in baseball as on this day in 1939, “New York Yankees first baseman Lou Gehrig benches himself for poor play ending his streak of consecutive games played at 2,130....more

The Louisiana Purchase And Compliance Focus Group – Changing The Game

by Thomas Fox on

In 1803, the fate of the United States changed in ways that could have never been contemplated, when the French Minister Talleyrand offered to sell France’s entire Louisiana Territory in North America to stunned American...more

The Chief Compliance Officer: General Counsel or Independent Executive – Is This the Right Question?

by NAVEX Global on

I read with great interest the Corporate Counsel article, “An Independent CCO is a Compliance Program Requirement,” by Michael Volkov, founder and CEO of the Volkov Law Group....more

Board Responsibility Under The FCPA – A Herculean Task?

by Thomas Fox on

The nightmare of every corporate director is to wake up to find out that the company of the Board he or she sits on is on the front page of a national newspaper for alleged illegal conduct. ...more

The Importance Of A Senior Executive Compliance Committee

by Michael Volkov on

People love to give advice – they love to tell people what to do (and hear themselves talk). In order to be effective, compliance professionals have to be able to “listen.” ...more

The Importance Of A Board Compliance Committee

by Michael Volkov on

It is not every day that I can report on a new governance innovation which is being rapidly embraced and implemented by companies. It may be one of the most significant corporate governance developments in the last five...more

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