Leadership Lessons From The West Wing — Hiring to Firing Podcast
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
On this episode of Culture & Compliance Chronicles, Amanda Raad and Nitish Upadhyaya from Ropes & Gray’s Insights Lab, and Richard Bistrong of Front-Line Anti-Bribery, are joined by Danny Mayhew, the global head of...more
Compliance officers can learn a lot from small businesses, and today we have a fascinating example of that point from the smallest sort of business there is – a boy selling ice cream on the side of the road, who was soon shut...more
This week, leading up to Halloween, I will examine lessons for compliance professionals through the lens of the great Universal Movie Monsters: Frankenstein, Wolfman, Dracula, and The Mummy. Today, we consider what compliance...more
Last month, the U.S. Department of Justice’s (“DOJ”) Criminal Division announced its periodical update to its Evaluation of Corporate Compliance Programs (“ECCP”), zeroing in on how companies manage risk related to artificial...more
The RSOG builds upon and clarifies existing market conduct standards for TCSPs and Company Managers where the underlying requirements are generally the same but with some differences. The RSOG implements market conduct...more
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
The Financial Services Institute in collaboration with Conyers, Grant Thornton and Cayman Finance hosted its fourth comprehensive training seminar on “Preparing for an Onsite Inspection from the Cayman Islands Monetary...more
Bobby Butler, a well-known and long-time compliance professional, joins Michael Volkov for a thought-provoking discussion on the rise of the compliance profession. Bobby has had a long and successful career in compliance....more
Steve Forman, Senior Vice President at Strategic Management Services, had an eye-opening experience years ago when interviewing for the job of Vice President of Audit and Compliance for New York Presbyterian Hospital. The...more
Introduction- An IPS is an integral policy document for any organization to reduce corporate cash management and investment risks. It outlines an entity's cash management processes and strategies, and its investment goals....more
The SEC’s Cybersecurity Proposals - The SEC has proposed four rules designed to address cybersecurity risk and management, including incident reporting by public companies....more
The famous swashbuckling adventure of The Three Musketeers should inspire chief compliance officers to pursue an important concept – the need for teamwork and collaboration is imperative for all compliance programs. We all...more
The famous quote by Mahatma Gandhi — “The world has enough for everyone's need, but not enough for everyone's greed” — aptly reflected business sentiments prevalent decades ago. At that time, the sole intention was to fulfil...more
This is a topic that every compliance professional has to address in one form or another. Chief compliance officers are so busy that they often cannot even take the time to tackle this difficult issue. This is a real...more
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
The Evaluation of Corporate Compliance Programs, 2019 Guidance, makes clear that operationalization of compliance into an organization should be done at multiple levels. The 2019 Guidance also called out culture as a key...more
Now that the sugar and the frivolity of the holiday season have worn off, let’s talk more about the different types of compliance management activities that will ensure your obligations are met, and some of the specific needs...more
With a new year, many folks have been promoted to the CCO chair. What should be your plan starting the new year and a new job. The answer is found in the eBook Compliance Program Game Plan by myself and Jonathan Marks. ...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
On April 30, 2019, Assistant Attorney General Brian Benczkowski unveiled an update to the Department of Justice’s Evaluation of Corporate Compliance Programs during a speech in Dallas, Texas. In issuing the new document (the...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
The Office of the Comptroller of the Currency (OCC) on October 30 published revised policy and procedures for how it manages Matters Requiring Attention (MRAs) resulting from its examination of supervised institutions. MRAs...more