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Documentation Compliance

[Webinar] Master Class: Conducting & Closing Effective Workplace Investigations - May 10th, 8:30am PT

by NAVEX Global on

Join this free educational event—brought to you by the NAVEX Global Ethics & Compliance Virtual Conference—for 2.5 hours of quality learning. Become an expert investigator in 1 day! In this Master Class, you will learn...more

Cybersecurity in the investment management industry

by Ropes & Gray LLP on

Paulita Pike, Ropes & Gray investment management partner, addresses privacy and cybersecurity challenges facing the investment management industry. ---------- Cybersecurity and data privacy are important topics for...more

This Week in FCPA-Episode 80, The Last Jedi Edition

by Thomas Fox on

Jay and I return for a wide-ranging discussion on some of the top compliance- and ethics-related stories of the week, including: 1. There are several FCPA 40th anniversary pieces going up these days. The FCPA Blog is looking...more

CCOs: The Importance of Documenting a Compliance Program

by Michael Volkov on

Tom Fox frequently reminds every one of the importance of documentation to the integrity of a compliance program. A compliance program is only as good as the documents show. This principle is especially critical when a...more

Day 21 of One Month to Better Compliance Through HR-the HR Gap Analysis for Compliance

by Thomas Fox on

How can you determine if Human Resources (HR) can meet the needs of a best practices compliance program? One place to start is with a gap analysis to determine what HR has in place that can facilitate your company’s...more

When It Comes to Documentation, Smart Companies Behave Like Every Day Is Audit Day

by NAVEX Global on

Audits are part of nearly every ethics and compliance program. They come from the Internal Audit Department, outside auditors testing control systems and processes, and in some cases, government regulators evaluating the...more

Hallmark 7-Third-Party Due Diligence and Payments

by Thomas Fox on

There are five steps in the life cycle of third party management. - Business Justification and Business Sponsor; - Questionnaire to Third Party; - Due Diligence on Third Party; - Compliance...more

The Only Thing You Have to Fear . . . Is No Documentation

by Michael Volkov on

Compliance is a profession that requires multi-tasking – another profound grasp of the obvious. But in the multi-tasking world, some principles and strategies are more important than others. My colleague and...more

Non-Traditional License Documentation – Save Everything!

by Scott & Scott, LLP on

Scott & Scott, LLP attorney, Christopher Barnett, suggests companies implement strong internal controls to recognize, secure and maintain any and all documentation demonstrating ownership of license for software products,...more

What's the One Thing Missing From Your Corporate Compliance Program?

by JD Supra Perspectives on

What's the one thing missing from most corporate compliance programs? For a legal perspective, that's the question we put to corporate attorneys writing on JD Supra, asking each to commit to just one essential element...more

CFTC Extends Certain SEF Reporting, Confirmation, and Documentation Compliance Dates

by Dechert LLP on

commoThe Division of Market Oversight (“Division”) of the U.S. Commodity Futures Trading Commission (“CFTC”) on September 27 and 30, 2013 issued several no-action letters to temporarily registered swap execution facilities...more

2013 Healthcare Fraud and Abuse Bootcamp Webinar Series, Part V: Compliance

by Baker Donelson on

Bill Mathias of Ober|Kaler's Health Law Group presented on compliance as a part of the 2013 Healthcare Fraud and Abuse Bootcamp Webinar Series sponsored by the American Health Lawyers Association. This webinar...more

Managing Peer Review Investigations: How to Avoid Hearings and Litigation

In this presentation: - Provide recommendations regarding best practices, bylaw provisions and other strategies to address and resolve quality and peer review issues without resorting to “investigations” and...more

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