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
Family law attorney Tyler Coe covers the new report with insights from Edward Marshall and how it equips family offices with insights that can enhance performance and manage risk to position themselves for success....more
Call me a skeptic. Call me cynical. I understand that the International Organization for Standardization (ISO) provides valuable standardization services and guidance. The ISO is comprised of 169 member countries....more
Venture capital (VC) is a form of private equity and a type of financing where investors invest in early-stage companies which they believe to have long-term, highgrowth potential. Accredited investors, family offices,...more
On Friday, SEC Chief Accountant Paul Munter released a public statement in which he expressed concerns about the risk assessment process of both auditors and management. As a possible harbinger of things to come, the...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
Even with the current focus on sanctions compliance, many companies have done little to assess and enhance their existing sanctions compliance program. Instead, a number of companies have stitched together a basic sanctions...more
I always enjoy pulling out the crystal ball and looking forward with due consideration of last year’s trends. It is a perspective that gives us all the opportunity to identify important trends and to set an agenda for the...more
This panel will review the regulatory framework, business risks, and litigation risks associated with green marketing, “greenwashing,” and false and misleading advertising. We will also discuss the basics of the...more
CEP Magazine - November 2022 - Inspiration sometimes comes from unexpected places. I like to read books on a variety of topics. In one I read recently, the astrophysicist author described the second law of thermodynamics...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
Report on Supply Chain Compliance 3, no. 14 (July 23, 2020) - The United States Department of Justice (DOJ) released an update to its guidance document, Evaluation of Corporate Compliance Programs, which is based on...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
In this special four-part podcast series, Richard Lummis and myself consider business leadership from a different angle, that of great economic disaster. This podcast series was inspired by the Great Courses series of...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
On May 2, 2019, the US Department of the Treasury’s Office of Foreign Assets Control (OFAC) issued guidance titled “A Framework for OFAC Compliance Commitments” (Guidance), providing direction regarding what OFAC considers to...more
Companies must now address three questions proactively. On April 30, 2019, the DOJ’s Criminal Division issued updated guidance on how it will evaluate corporate compliance programs in its charging decisions going forward....more
OFAC outlines baseline considerations for evaluating a risk-based sanctions compliance program. On May 2, 2019, the US Treasury Department’s Office of Foreign Assets Control (OFAC) published A Framework for OFAC Compliance...more
Whether you employ the Carnegie method or the Socratic method, asking questions is a key practice that every compliance professional should incorporate into their business skill set....more
What your culture is today? You should consider what you value in terms of six key areas: dominant characteristics; organizational leadership; management of employees; the glue that holds the organization together; strategic...more
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
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
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
In this episode, I visit with Joe Oringel, co-founder of Visual Risk IQ, a data-analytics and visualization company. They have developed a manner to not only extract data but present it in a way that is very interesting, very...more
The best way for a company to handle a data breach is to be prepared. As we discuss in our data breach readiness handbook, preparation includes, among other things, drafting an incident response plan, reviewing...more