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American Conference Institute (ACI)

[Event] Mexico Summit on Anti-Corruption & Compliance Programs - March 12th - 13th, Polanco, CDMX, Mexico

Connect with the leading Anti-Corruption experts and discuss the latest compliance strategies at ACI’s Mexico Summit on Anti-Corruption & Compliance Programs. As Mexico’s longest running, premier anti-corruption and...more

The Volkov Law Group

Episode 342 -- How to Conduct an Internal Compliance Site Visit and Review

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How can companies ensure that their compliance programs are robust enough to handle today’s complex ethical challenges? In this episode, Michael Volkov dives into the critical components of conducting an internal compliance...more

Thomas Fox - Compliance Evangelist

When New Business Risks Emerge: Lessons for Compliance from The Creature from the Black Lagoon

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

Thomas Fox - Compliance Evangelist

Compliance Lessons from The Adventure of the Crooked Man

One of the great things about having a podcast network is that I get to not only explore topics that I love but I get to tie them into compliance. Perhaps the best example is my award-winning series, Trekking Through...more

The Volkov Law Group

A Compliance Reminder: Focus on Your Culture

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We all agree on the importance of corporate culture.  Everyone gets it – corporate leaders mouth the words but rarely understand the nuances, and the need to attend to a company’s culture.  Compliance professionals want to...more

Thomas Fox - Compliance Evangelist

What is Corporate Culture?

Welcome to a special five-part blog series on building a stronger culture of compliance, sponsored by Diligent. In this series I will visit with Yvette Hollingsworth-Clark, Viktor Cuijak, Jessica Czeczuga; Michael Parker; and...more

The Volkov Law Group

Episode 284 -- How to Implement a Compliance Compensation System

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The Justice Department’s recent revisions to its Corporate Enforcement Program and its Evaluation of Corporate Compliance Programs stressed the importance of compensations systems and consequence management.  The theoretical...more

The Volkov Law Group

Refreshing and Elevating Your Sanctions Compliance Program (Part II of III)

The Volkov Law Group on

Let’s move beyond the headline – trade compliance is the new FCPA.  We get it.  The next step is to do something about it.  The Justice Department has repeated this refrain – it is one of its greatest hits.  In addition, DOJ,...more

The Volkov Law Group

LRN 2023 Compliance Program Report Underscores Importance of Compliance Program Vigilance

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LRN continues to provide important insights and trends on the importance of ethics and compliance programs.  LRN’s annual report is an important resource and needs to be reviewed by the board, senior management and all...more

Society of Corporate Compliance and Ethics...

[Event] 11th Annual European Compliance & Ethics Institute - March 20th - 22nd, Amsterdam, Netherlands

In-person is back! Join us in Amsterdam for the 2023 European Compliance & Ethics Institute! Strengthen your compliance and ethics program by attending our 11th annual European Compliance and Ethics Institute, 20-22 March...more

The Volkov Law Group

Tracking Ethics and Compliance Program Performance (Part II of II)

The Volkov Law Group on

Chief compliance officers rely on several important sources for feedback — internal data and communications (reviews with board, senior managers, employees); and benchmarking against comparable organizations.  An internal...more

The Volkov Law Group

Compliance Program Monitoring, Testing, Audits, Assessments and Continuous Improvement (Part I of IV)

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Chief compliance officers have a lot of issues to balance on their plate.  Experienced CCOs know that it is not possible to complete every objective, balance every changing risk, and continuously improve their respective...more

The Volkov Law Group

The Importance of Ethics and Compliance to the Overall Corporate Mission (Part II of IV)

The Volkov Law Group on

There are lots of sources for compliance guidance — prosecutors, regulators, compliance organizations, and many others have set forth important and valuable guidance for the design and implementation of an effective ethics...more

The Volkov Law Group

The Myth of Corporate Resources and Efficiency

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When I was a federal prosecutor and investigating corporations for misconduct, I imagined a well-oiled machine with vast resources, capable of overwhelming government prosecutors and law enforcement agents with lawyers,...more

K2 Integrity

Using Sanctions Screening and List Management to Support a Stable Sanctions Compliance Framework

K2 Integrity on

A robust sanctions compliance program is a key part of financial crimes compliance programs for financial institutions as well as businesses engaged in global commerce. Failure to establish or effectively implement such a...more

The Volkov Law Group

Compliance Understanding of Business Processes

The Volkov Law Group on

Compliance understanding of business processes is a critical part of understanding internal controls and a company’s risk profile.  Compliance officers are adept in identifying and assessing risks.  In doing so, a compliance...more

Mitratech Holdings, Inc

Lessons Learned in Compliance Management in 2020

What have we learned from 2020? I think all of us have learned quite a bit in both our personal and professional lives. 2020 has stretched us as individuals and as organizations in various and unexpected ways. ...more

Thomas Fox - Compliance Evangelist

Farewell to Lou Brock and Implementing Internal Controls

The first step is to convert your company’s compliance risks into internal control objectives. The internal control objectives are then given to each business unit with instructions to develop controls, which meet the...more

Skadden, Arps, Slate, Meagher & Flom LLP

Key Takeaways From Updated DOJ Corporate Compliance Evaluation Guidance

On June 1, 2020, the Criminal Division of the U.S. Department of Justice (DOJ) released updates to its Evaluation of Corporate Compliance Programs guidance (Guidance), last revised in April 2019. ...more

Jones Day

DOJ Updates Its "Evaluation of Corporate Compliance Programs" Guidance

Jones Day on

The Situation: The Department of Justice ("DOJ") has updated its "Evaluation of Corporate Compliance Programs" guidance for prosecutors. The Result: The updates provide additional insights into the factors the DOJ is...more

Thomas Fox - Compliance Evangelist

Continuous Improvement in a Compliance Program

Today, I consider what techniques you, as Chief Compliance Officer (CCO), can use to create continuous improvement in your compliance program. ...more

The Volkov Law Group

Admit It – Your Compliance Program is Not Really “Effective”

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Chief compliance officers are heroes.  They labor every day to advance a company’s ethics and compliance program without much recognition, with few resources, and with well-known gaps in their programs....more

The Volkov Law Group

Rebalancing Third-Party Risk Strategies

The Volkov Law Group on

As companies move forward on third-party risk management programs, and as automated third-party risk solutions are being implemented, compliance professionals have to re-examine and re-balance the allocation of resources and...more

Thomas Fox - Compliance Evangelist

What to Ask Before You Begin a Large Compliance Project

As most compliance professionals are lawyers with legal training, they have little actual experience with implementing new process-based projects. Russ Berland, Chief Compliance Officer (CCO) at Aventiv Technologies, LLC, has...more

The Volkov Law Group

Keeping Your Eye on the Risk Ball

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Compliance officers face almost an infinite number of risks – not to be trite, but CCOs can drive themselves crazy identifying every plausible legal and compliance risk a company faces.  I am exaggerating a little bit to make...more

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