News & Analysis as of


Four Phases of Corporate Culture Maturity from the SEC’s Chief Accountant

by NAVEX Global on

The chief accountant of the Securities and Exchange Commission recently gave remarks about inculcating a strong ethical culture at audit firms. And although he was talking to auditors, he was preaching to the compliance...more

Time for Companies to Establish an Independent Corporate Ombudsman

by Michael Volkov on

Corporate commitment to speak up cultures is suffering. The Ethics and Compliance Initiative’s recent Global National Business Ethics Survey contained a critical finding – corporate instances of retaliation against employee...more

Corporate Attitudes: When Speak Up Means Keep Quiet

by Michael Volkov on

As parents we all have been through the following scenario – we encourage our children to communicate and voice their concerns and to learn to articulate, reason and understand perspectives. So, our kids start to speak up...more

JCOPE Promulgates New Lobbying Regulations; Kansas Expands Scope of Lobbying Law

Below, we have summarized recent developments regarding New York and Kansas lobbying requirements. New York Lobbying Regulations - On April 24, 2018, the New York Joint Commission on Public Ethics (JCOPE) voted to...more

Justice Department Charges Former Volkswagen CEO in Diesel Vehicle Emissions Cheating Scheme

by Michael Volkov on

We all know the saying – A fish rots from the head. Sometimes a clear and simple statement says it all. The Volkswagen diesel emissions cheating scandal is yet another example of C-Suite, even CEO, misconduct....more

Compliance into the Weeds-Episode 82-Cohen Redux

by Thomas Fox on

In this episode, Matt Kelly and I take a continued deep dive into the travails of Michael Cohen, AT&T and Novartis for their hire of Cohen’s company Essential Consulting. After last week’s emergency podcast on the topic, we...more

Reflections on Week of Compliance in Brazil

by Thomas Fox on

I have finished up my week in Brazil and I wanted to end this week’s Brazil focused blog posts with some final thoughts and observations on the country’s burgeoning compliance scene....more

Compliance into the Weeds-Episode 81, Cohen risk is now a Thing

by Thomas Fox on

In this first emergency Compliance into the Weeds podcast, Matt Kelly and myself review the information that Michael Cohen was paid by several US and international multi-national organizations for insight on and influence...more

You’re Biased and That’s Normal. Also, Norms Need to Change | #YCDEthics

by NAVEX Global on

Bias (and even unconscious bias) is not inherently bad. Rather, it is a tool that we use each day to navigate quickly through our environments and decision making. Each day we make thousands of decisions, and many of them are...more

FCPA Compliance Report-Episode 382, Susan Divers on LRN’s 2018 Program Effectiveness Report

by Thomas Fox on

In this episode Susan Divers, Senior Advisor at LRN returns to talk about "LRN’s 2018 Program Effectiveness Report."...more

Working with Monitors-Episode II: Impacts of Monitors

by Thomas Fox on

I continue my five-podcast exploration of working with monitors. I am joined by Don Stern, Managing Director, Corporate Monitors and Consulting Services at Affiliated Monitors, Inc. (the sponsor of this five-part series) on...more

Industry Expert Hui Chen on Ethics & Compliance

by Mitratech Holdings, Inc on

As the first-ever Compliance Counsel Expert at the United States Department of Justice (DOJ), Hui Chen served as exclusive consultant to the Fraud Section’s white-collar crime federal prosecutors. She reviewed corporate...more

Political Intelligence Consultant, CMS Official, Guilty of Insider Trading

by Dorsey & Whitney LLP on

A political intelligence consultant, a former employee at the Centers for Medicare and Medicaid Services or CMS, and two partners at a New York hedge fund were found guilty by a jury on charges of conspiracy, securities fraud...more

The Tale of LabMD: New Lawsuits Charge Ethics Violations and Fake Data Breaches

The LabMD data security case is anything but dull. An 8-year (and counting) fight with the U.S. Federal Trade Commission, a U.S. House of Representatives Oversight and Government Reform Committee investigation into...more

Innovation in Operationalizing Compliance: Part III

by Thomas Fox on

Today, I conclude my three-part series on how to more fully operationalize your compliance program. I have been joined in this exploration by Ben Locwin. ...more

Innovation in Operationalizing Compliance: Part I

by Thomas Fox on

Over this three-part series, I will be visiting with Ben Locwin on how to more fully operationalize your compliance program. In Part I, we consider how embedding compliance as a key component of the business equation and the...more

Ethics & Compliance Leaders Could Use a Good Dose of Marketing 101

by NAVEX Global on

I recently hosted a panel at an industry conference on the topic of “Training & Communication: Marketing & Integrating Your Compliance & Ethics Brand.” I finished by asking the audience, “How many of you knew you’d also be...more

FCPA Compliance: The Importance of Relativity to Risk Ranking (Part I of V)

by Michael Volkov on

This week I am posting a five-part series on FCPA compliance issues. While there have been many advances in the anti-corruption ethics and compliance field, there is still more work to do to advance effective strategies for...more

Starbucks and Lessons for the Compliance Practitioner in Risk Management

by Thomas Fox on

Recently Starbucks generated extremely negative news for having Philadelphia police arrest two persons who were waiting for a third person for a meeting. I want to use this most recent black eye for Starbucks and an earlier...more

CCOs and Compromising Positions

by Michael Volkov on

The chief compliances officer is the guardian of a company’s most important intangible asset – its culture. Everyone at a company is responsible for a company’s culture; the board of directors, CEO, senior executives play an...more

Learning the Basics on GDPR’s Right to Be Forgotten

by NAVEX Global on

Now that the European Union’s General Data Protection Regulation is nearly here, it’s time for ethics and compliance officers to panic more efficiently about all the challenges that lie ahead....more

Leadership Lessons from James Polk – Mind the Details but Don’t Take Your Eyes off the Goal

by Thomas Fox on

There were two economic issues that Polk accomplished which greatly furthered US economic interests. The first was the reduction of the Tariff of 1842. Polk directed Secretary of the Treasury Robert Walker to draft a lower...more

[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

Environmental, Social and Governance (ESG) and Impact Enter the Board Room

by Womble Bond Dickinson on

[co-author: Mark Newberg, Director of Impact Strategies] Recently, Larry Fink, the CEO of BlackRock, the world’s largest asset manager, took a noteworthy step in an open letter he wrote to the CEO’s of all publicly traded...more

Operationalizing your compliance program through the risk management process

by Thomas Fox on

I continue this week’s exploration of how to more effectively operationalize your compliance program. Yesterday, I wrote about forecasting to more fully burn compliance into the fabric of your organization....more

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