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Compliance

Compliance programs typically refer to formalized institutional procedures within corporations and organizations to detect, prevent and respond to indvidual and widespread instances of regulatory... more +
Compliance programs typically refer to formalized institutional procedures within corporations and organizations to detect, prevent and respond to indvidual and widespread instances of regulatory violations.  In response to many corporate scandals evidencing rampant unethical business practices, many nations, including the United States, began passing strict regulatory frameworks aimed at curbing these abuses. Notable pieces of legislation in this area include the U.S. Foreign Corrupt Practices Act (FCPA), Sarbanes-Oxley (SOX), and the U.K. Bribery Act, to name a few. The foregoing statutes and the severe penalties often associated with them form the basis of many modern institutional compliance programs. less -
Thomas Fox

Originating a Compliance Ecosystem

by Thomas Fox on

I have been thinking quite a bit about the future of the corporate compliance function. Our profession seems to be an inflection point, moving away from the lawyer-driven written policies and procedures to a more...more

Michael Volkov

The Dangerous Mix of Incentives and “Misconduct”

by Michael Volkov on

We often hear about the dangerous risk to a company’s culture from rigorous sales incentive programs.  Like most issues, the answer to this issue is not cut and dried....more

Health Care Compliance Association (HCCA)

Report on Medicare Compliance Volume 29, Number 6. News Briefs: February 2020 #3

Report on Medicare Compliance 29, no. 6 (February 17, 2020) - Tenet Healthcare Corp. and an affiliated hospital, Desert Regional Medical Center, have agreed to pay $1.41 million to settle False Claims Act (FCA)...more

Society of Corporate Compliance and Ethics...

International Chamber of Shipping proposes USD 54 billion research fund for emissions

Report on Supply Chain Compliance 3, no. 3 (February 6, 2020) - Merchant shipping owners released a USD 54 billion proposal for a research and development program to eliminate CO2 emissions. The program is an attempt to...more

Pillsbury Winthrop Shaw Pittman LLP

Private Funds Litigation/Regulatory Year in Review and 2020 Outlook - Although the SEC did not bring as many headline enforcement...

TAKEAWAYS - SEC scrutiny of private funds underscores the importance of remaining vigilant, including updating and improving compliance infrastructure and evaluating internal policies and procedures. - Private funds...more

Holland & Knight LLP

Treasury Releases 2020 National Strategy for Combating Terrorist and Other Illicit Financing

by Holland & Knight LLP on

The 2020 National Strategy for Combating Terrorist and Other Illicit Financing was issued earlier this month by the U.S. Department of the Treasury. Prepared in consultation with regulators and law enforcement, including the...more

McDermott Will & Emery

[Event] BCR in 2020 and Beyond - March 19th, London, United Kingdom

by McDermott Will & Emery on

McDermott Will & Emery, in partnership with Ankura is hosting a tailored event centered on the complexity of global data transfer post-GDPR. Having analysed the marketplace trends and delivered BCR projects, our panel,...more

Dentons

Dawn raids

by Dentons on

The Superintendence of Industry and Commerce (“SIC”) has the legal power to conduct unannounced dawn raids in the offices of any company. During these procedures, the SIC may request any commercial or corporate information,...more

Society of Corporate Compliance and Ethics...

[Event] Basic Compliance & Ethics Academy - May 11th - 14th, Boston, MA

Our Basic Academies are ideal for professionals with some compliance knowledge and experience who are ready to support, enhance and manage a comprehensive compliance program. They are taught by compliance professionals,...more

Health Care Compliance Association (HCCA)

Compliance Perspectives: Compliance Lessons from Theranos

Tyler Schultz, like many others, was entranced by the vision of Theranos and its charismatic founder Elizabeth Holmes. He would not remain so for long, ultimately sharing his concerns with her, his grandfather (a member of...more

Health Care Compliance Association (HCCA)

Report on Medicare Compliance Volume 29, Number 5. News Briefs: February 2020 #2

Report on Medicare Compliance 29, no. 5 (February 10, 2020)  - David Laufer, the former chief of the Prosthetics and Orthotics Department at Walter Reed National Military Medical Center in Bethesda, Maryland, was charged...more

Society of Corporate Compliance and Ethics...

The US Bureau of International Labor has apps for compliance and modern slavery

Report on Supply Chain Compliance 3, no. 3 (February 6, 2020)  - Two apps for Android and iPhone released by the U.S. Bureau of International Labor Affairs aim to make it easier for organizations to recognize human...more

Thomas Fox

Filling the Shoes as a First Time CCO

by Thomas Fox on

Moving to the Chief Compliance Officer (CCO) chair can be quite a daunting challenge. The first time you do so can bring feelings of fear leading to terror. However, everyone who has moved up to a leadership position in any...more

Bryan Cave Leighton Paisner

Failure to prevent tax evasion – HMRC announces 9 live investigations and 21 “opportunities under review”

by Bryan Cave Leighton Paisner on

HMRC’s focus on organisations under the Criminal Finances Act 2017 for failure to prevent tax evasion is making steady progress. The revelation, in very broad terms, of the number of investigations and enquires that it is...more

Michael Volkov

Rebalancing Third-Party Risk Strategies

by Michael Volkov on

As companies move forward on third-party risk management programs, and as automated third-party risk solutions are being implemented, compliance professionals have to re-examine and re-balance the allocation of resources and...more

Thomas Fox

FCPA Compliance Report-Episode 465- Joanne Taylor on the UK Airbus Enforcement Action

by Thomas Fox on

In the Episode, I visit with Joanne Taylor, Managing Director at K2, an industry leading investigative, compliance and cyber defense services firm. Joanne joined K2 Intelligence with 20 years of experience in legal,...more

Thomas Fox

Daily Compliance News: February 17, 2020, the Apocalypse is Nigh edition

by Thomas Fox on

In today’s edition of Daily Compliance News: 1. A company needs profits to have purpose. (NYT) 2. Avianca office raided by Colombian authorities. (WSJ) 3. Unilever to quit marketing ice cream. (Washington Post) 4. Baseball...more

Thomas Fox

31 Days to a More Effective Compliance-Succession planning around compliance

by Thomas Fox on

Another area where Human Resources can help to more fully operationalize compliance is in succession planning. Succession planning is just as important as governance, enterprise risk management and strategic oversight. In...more

Michael Volkov

Episode 127 -- Deep Dive into the OCC Enforcement Action Against Wells Fargo CEO and Senior Executives

by Michael Volkov on

In a comprehensive enforcement action, the Office of the Comptroller of Currency (OCC) announced a $17.5 million settlement with former Wells Fargo Bank CEO John Stumpf for his role in the sales practices misconduct scandal....more

Society of Corporate Compliance and Ethics...

T-TIP negotiations stumble forward as US calls for EU to approve imports of ‘chlorinated chicken’

Report on Supply Chain Compliance 3, no. 3 (February 6, 2020)  - The Transatlantic Trade and Investment Partnership (T-TIP) has been deemed dead in the water several times since negotiations began more than five years ago...more

Health Care Compliance Association (HCCA)

Observation Is Attracting Audit Attention; Hours Are a Risk, And Watch Out for the MOON

Report on Medicare Compliance 29, no. 5 (February 10, 2020) -  At least two Medicare administrative contractors (MACs) have set their sights on observation services, and there may be more to come. WPS is auditing...more

Society of Corporate Compliance and Ethics...

Facial recognition rises as threat to data privacy

Report on Supply Chain Compliance 3, no. 3 (February 6, 2020)  - A New York Times article blew open the work of Clearview AI, an artificial intelligence start-up that claims to be helping law enforcement agencies solve...more

Thomas Fox

The Astros Players and Communicating Compliance

by Thomas Fox on

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

Society of Corporate Compliance and Ethics...

US and France reach agreement on digital tax

Report on Supply Chain Compliance 3, no. 3 (February 6, 2020)  - France has agreed to suspend collection of the Google, Apple, Facebook, and Amazon, or “GAFA” digital tax until the end of the year, allowing for a period of...more

Dechert LLP

Five Things for Employers to Consider in 2020

by Dechert LLP on

Various changes to employment law are coming into force over the next few months which should prompt employers to consider reviewing and, where necessary, updating their employment documentation and/or processes. Five...more

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Privacy Officer
JD Supra, LLC
10 Liberty Ship Way, Suite 300
Sausalito, California 94965

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Privacy Officer
JD Supra, LLC
10 Liberty Ship Way, Suite 300
Sausalito, California 94965

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Updates to This Policy

We may update this cookie policy and our Privacy Policy from time-to-time, particularly as technology changes. You can always check this page for the latest version. We may also notify you of changes to our privacy policy by email.

Contacting JD Supra

If you have any questions about how we use cookies and other tracking technologies, please contact us at: privacy@jdsupra.com.

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