Why Time Matters: Partners Lindsay Gerdes and Michael J. Bronson on Swift Action in Government Investigations
What the Board Should Be Asking About the Compliance Program
Episode 327 -- Another Look at the Importance of Corporate Culture
Episode 320 -- NAVEX Hotline Report -- More Reports and Higher Substantiation
The Coming Perfect Storm
Overcoming Internal Barriers to Compliance Success
Episode 301 -- Steve Naughton on Compliance and Complaince Education at Loyola Law School Program
Episode 299 -- Bobby Butler on the Compliance Profession and the Future of Compliance
Compliance Auditing & Monitoring
Global or Local: The Constant Dilemma in Compliance
Compliance Series Part 3: Ensuring Compliance Programs are Effective
Compliance Programs Part 2: Designing a Successful Compliance Program
Compliance Programs Part 1: What is a Compliance Program and Why do Businesses Need One?
Episode 281 -- NAVEX 2023 State of Risk and Compliance Programs
Improving Your Face to Face Communications
Compliance Perspectives: Compliance Champions
Compliance Perspectives: Compliance & Corporate Governance in the Time of COVID-19
12 O'Clock High, a podcast on business leadership-Episode 116: Leadership Lessons from the Dutch Tulip Bubble of 1636-1637
Nota Bene Episode 51: The Four Fundamentals of a Corporate Governance Crisis with John Tishler
Across the Board-Episode 5, Visualization of Data for a Board
Compliance professionals constantly seek to understand how systemic issues within corporate hierarchies can lead to severe consequences. The recent revelations about Bank of America’s (BoA) persistent workplace culture...more
Corporate compliance professionals can learn a lot from the audit world. Our latest lesson comes in a statement from the Securities and Exchange Commission, warning auditors to do better at identifying the risk of fraud among...more
As most compliance practitioners know, the Department of Justice’s (DOJ) Evaluation of Corporate Compliance Programs, 2019 Guidance, concentrated focus on culture in a way the DOJ has not done previously. This concentrated...more
Today, I conclude the topic of judgment for compliance professionals. I recently read a Harvard Business Review (HBR) article on the topic by Sir Andrew Likierman, entitled “The Elements of Good Judgment: How to Improve Your...more
From the HR and compliance perspective, there are four steps to undertaking a gap analysis: 1) understanding the compliance and HR environment in your organization; 2) taking a holistic approach to understanding the...more
What should a company do when it desires to hire a CCO? To find out, I visited with Maurice Gilbert, Founder of Conselium Partners LP, one of the country’s top compliance-focused executive recruiting firms. Gilbert believes...more
Tap into adjacent expertise and a broad network early in problem-solving. Almost universally, more successful innovators did not immediately solve a problem they were given as “they were likely to ask questions and engage...more
Last week I began what I thought would be a two-part exploration on creating better data science in the compliance function. However as usual, I got carried away and two blogs post morphed into three. ...more
Yesterday, I introduced the problem and how to build a set of talents to a better integrate a data science operation in your compliance function. Today, I want to consider how to implement those talents into an integrated...more
This week I am running a five-part podcast series for which I interviewed Dr. Kyle Welch on his recent paper, co-authored with Stephen Stubben, Associate Professor from The University of Utah, entitled “Evidence on the Use...more
I continue my innovation themed blog week, overlaid with a Sherlock Holmes premise. Today I use The Adventure of the Speckled Band to introduce the topic of the Chief Compliance Officer (CCO) as a data translator. ...more
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
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