News & Analysis as of

Corporate Management

Internal Controls for Gift Giving this Holiday Season

by NAVEX Global on

Thanksgiving and the start of the holiday season is upon us. I thought a review of internal controls around gifts was in order. Many companies effectively minimize the risk of inappropriate gifts through stringent...more

Using the Right Entity is Key to Successful Agribusiness

by Ruder Ware on

Are you using the right business entity for your farm or other agribusiness? I have worked with too many clients who have paid additional tax dollars or have been unable to achieve their succession planning goals due to their...more

Putting Ethics Back Into Compliance (Part IV of IV)

by Michael Volkov on

My final posting on this week’s ethics series is a call to action for all compliance professionals. Every compliance officer should insist on and embrace a title – “Chief Ethics and Compliance Officer.” Some larger...more

Ominous Signs for the Future of the Compliance Profession

by Michael Volkov on

As we celebrate Ethics and Compliance Week in 2017, I wanted to offer my own assessment of where the compliance profession stands and the challenges facing the profession for the future....more

HR and Compliance: Working Together to Hire Ethical Employees

by Michael Volkov on

Human resources and compliance professionals share many common objectives and interests. They need to coordinate and operationalize their joint interests in a variety of ways....more

Game 6 is Here – Empathy in Compliance

by Thomas Fox on

People rarely think of courtesy and respect as leadership skills but if you can bring these to bear in your compliance practice, you can garner greater influence as not only someone who cares but someone who cares and gets...more

What To Do When MLB Fiddles with the Equipment?

by Thomas Fox on

Sometimes the equipment you are playing with changes, particularly when that equipment is controlled by someone other than yourself. In the compliance world, this means having a compliance program which is both nimble and...more

Astros Win First World Series Game at Home – Trusting Your Eyes to Read the Data

by Thomas Fox on

There is much discussion about data analytics and Artificial Intelligence (AI) in compliance. Yet rarely do we talk about the human element in all of this. The point of data is to give you information from which you can make...more

Astros Garner First World Series Win – Execution of Compliance in the Middle

by Thomas Fox on

In compliance you often times need to be a superior utility player who is good at every job. There are multiple lessons. First and foremost is the problem of siloing in corporate America. This concern of siloing even...more

Am I My Director’s Keeper?

by Gray Reed & McGraw on

Board of directors member Y.I. Gnough, who is also president of Algae Company, is in a pickle. Although denying any knowledge of sexual harassment and misconduct by the company founder and deal-maker Iam Algae, three co-board...more

Passion for Baseball and Passion for Compliance

by Thomas Fox on

The only thing that’s worse than really hard work is really hard work on something you don’t love.” As a CCO or compliance professional you will never have the financial or head count resources you need. You will have to make...more

Five Essential Steps to Improve Corporate Board Oversight and Support of Compliance

by Michael Volkov on

Corporate boards need to devote more energy to oversight and improvement of corporate culture and compliance. Over the last ten years, we have witnessed corporate scandals and misconduct that could have been prevented or, at...more

Astros in the World Series, Will Hell Freeze Over?

by Thomas Fox on

Satan called a Press Conference Saturday at midnight to announce that he was putting up his entire real estate portfolio up for immediate sale. He made this announcement on the heels of the Houston Astros win over the New...more

ISO 37001: Training, Employee Concerns, and Internal Investigations (Part V of V)

by Michael Volkov on

In my final posting on ISO 37001, I review requirements for training, raising concerns and internal investigations as part of a company’s anti-bribery risk management system....more

ISO 37001: Risk Assessments, Employees, and Due Diligence Requirements (Part IV of V)

by Michael Volkov on

In Part IV of my series on ISO 37001, I examine requirements relating to risk assessments, design of policies and procedures, and due diligence requirements. Section 4.5 sets out requirements for conducting risk...more

ISO 37001: Board, Top Management and Anti-Bribery Compliance Responsibilities (Part III of V)

by Michael Volkov on

In Part III of my continuing series on ISO 37001, today I examine the board and top management’s respective responsibilities in the implementation and oversight of an anti-bribery management system....more

Liz Wiseman-Multiplying the Influence of Compliance

by Thomas Fox on

On the second full day of the SCCE Compliance and Ethics Institute (CEI) Liz Wiseman was one of the keynote speakers. Wiseman is the co-author with Greg McKeown of Multipliers: How the Best Leaders Make Everyone Smarter,...more

A Closer Look at ISO 37001 – Something Old or Something New? (Part I of V)

by Michael Volkov on

The release of ISO 37001 has triggered an important discussion among legal and compliance professionals. In a five-part series, I plan to address the value of ISO 37001, provide a substantive analysis, and to evaluate the...more

The Mummy’s Hand and a Risk-Based Approach at the Board Level

by Thomas Fox on

Today we consider the 1940’s film, The Mummy’s Hand as the second installment in Universal Pictures series featuring this creature. Boris Karloff departed the role and it was taken over for one film by Tom Tyler, who was...more

Farewell to Y. A. and Leadership Lessons from Martin Van Buren

by Thomas Fox on

I thought about our perception of Tittle in the context of Martin Van Buren, who usually receives short shrift from most historians and indeed Americans for his alleged failed Presidency. However, his life and Presidency do...more

Time is Running Out to Plan for Your Company’s Compliance With New ISO 14001 EMS Standards

by Seyfarth Shaw LLP on

The new ISO standard brings significant change that will require considerable time and thought to implement. Due to the timing, the strategy should focus on implementing the EMS to address the greatest “gaps” and developing...more

When is the Right Time? The Indians Streak and Monitoring

by Thomas Fox on

My challenge on when to write about the Indians winning streak informs today’s blog post, as I consider when you should use ongoing monitoring. Every compliance practitioner recognizes the prevent, find and fix tripartite...more

Compliance Leadership Tips from the Surgeon General-the Art of Persuasion

by Thomas Fox on

For myself, September 11th is the most solemn day in the history of our country that I have lived through. Others of my parents’ generation point to December 7th with the same reverence I feel as the day America was attacked....more

The Importance of Human Capital Diligence

by King & Spalding on

A commercially-focused COO joins a $300M company to help professionalize the organization in preparation for a sale. Investors are impressed with his articulate and energetic demeanor, and he quickly builds rapport with the...more

Will Your Assets Be Stranded? The Risk Management Process in ESG and Compliance

by Thomas Fox on

State Street Global Advisors (SSGA) is a company which engages in US and broader international institutional investing, largely on behalf of its clients. Some of the areas it focuses on include environmental, sustainability...more

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