News & Analysis as of

Corruption Fraud Chief Compliance Officers

Preparing for an Investigation

by Thomas Fox on

The Department of Justice’s (DOJ) Evaluation of Corporate Compliance Programs (Evaluation), under Prong 7 Confidential Reporting and Investigation asks the following: Properly Scoped Investigation by Qualified Personnel – How...more

Forecasting, Risk Management and Compliance

by Thomas Fox on

When I was in the corporate world, I cannot begin to recall the number of times senior management had an overly optimistic forecast regarding some transaction; whether the transaction was the purchase of a smaller company, a...more

When the Compliance Counsel Speaks, CCOs Should Listen

by Thomas Fox on

I was recently having breakfast with a colleague and we were discussing the Department of Justice’s (DOJ) Compliance Counsel Hui Chen and what we believe to be the positive impact she has had on the compliance community,...more

Wells Fargo Week: Part V – Compliance is the Answer

by Thomas Fox on

I want to end this week’s review of the Wells Fargo scandal by considering what is at issue and what is at stake in this imbroglio. Unlike a Foreign Corrupt Practices Act (FCPA) violation, Wells Fargo paid the relatively...more

Joe Howell on the PCAOB, Audits and Compliance – Part IV

by Thomas Fox on

This week I have been exploring the Public Accounting Oversight Board (PCAOB) with Joe Howell, an Executive Vice President (EVP) with Workiva Inc. We have considered how some of the issues addressed by the PCAOB directly...more

DOJ Hires Compliance Counsel to Assist in Charging Decisions

by King & Spalding on

New Compliance Counsel Will Assess Effectiveness of Corporate Compliance Programs - Last week the U.S. Department of Justice (DOJ) revealed it is hiring a compliance counsel to assist DOJ prosecutors in assessing the...more

EY Global Fraud Survey: “Depressing,” yes, surprising, no.

In an August 21, 2014 post concerning the Ernst and Young (EY) 12th Global Fraud Survey (link here for download), Cindy Knezevich, (Vice President of Marketing Operations at The Network), states, “it’s shocking how little...more

Increasing Risks of Fraud; Compliance Failures; A Willingness to be Unethical

by Dorsey & Whitney LLP on

Cyber security, corruption and unethical behavior pose significant risks for business enterprises, according to a new survey by EY titled “Overcoming Compliance Fatigue’. At the same time business organizations may be...more

JP Morgan’s Tone-Deaf Attitude

by Michael Volkov on

Some people are gluttons for punishment. We all know people in our professional and personal lives who repeatedly end up in trouble. Even when they escape some serious consequence or problem, they inevitably bring about...more

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Cybersecurity

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