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CCO Leadership in an Age of Dynamism

by Thomas Fox on

One of the most constant things about the compliance profession is its dynamism. Compliance programs are not static and the compliance profession is not static. Today’s cutting edge in compliance will be tomorrow’s best...more

The Role of Executive Leadership and Data in Anti-Bribery Compliance

In part one of a two-part interview, John Arvanitis, Associate Managing Director for Compliance at Kroll, shares recent findings from the Kroll-Ethisphere Anti-Corruption and Benchmarking Report, as they pertain to...more

Cricket’s Ball-Tampering Scandal: 10 Lessons for Financial Services

by Latham & Watkins LLP on

A recent sports scandal provides helpful guidance for current efforts to improve conduct and culture in the financial services industry. Introduction - The Australian cricket team is coached by a popular ex-player,...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

The New Test for CCOs

by Michael Volkov on

These are inspiring times for the compliance profession. Looking back on the last ten years, it is amazing to observe the growth and influence of the compliance profession. Many of the original advocates for the compliance...more

Bringing a Compliance Program to Life: Connecting the Dots

by Michael Volkov on

A compliance program is an interdependent function that gains exponentially from coordination and cooperation with key functions. CCOs have to be politicians and they have to develop effective interpersonal skills. Without...more

Operationalizing through Forecasting

by Thomas Fox on

Sometimes I just feel a roll coming on and this week it seems the word operationalization is stuck in my head. To honor that instinct, I am going to make this week’s theme on operationalization of your compliance program. ...more

Is Your Organization Taking the Correct Steps to Prevent and Defend Against Harassment Claims? Recent EEOC Guidance Suggests Best...

by Dickinson Wright on

In the wake of the #MeToo movement, most employers have become more acutely aware of the risks involved in failing to effectively prevent and respond to claims of workplace harassment. ...more

The Failure of the GE ‘Success Theater’

by Thomas Fox on

One of the key lessons we have found on leadership has been that of listening. Almost every great leader had this skill. Unfortunately, at times that skill becomes a downside in an organization when the leader only listens to...more

The State of Affairs: General Counsels and Chief Compliance Officers

by Michael Volkov on

In the last few years, the tension between chief compliance officers and general counsels appears to have subsided. The issue of separating CCOs from legal departments is not as important as it used to be. Why?...more

It’s Not Cricket – Ethics on the Pitch

by Thomas Fox on

The Aussies are in the midst of a Test Series against South African and were tied 1-1 and decided they need a bit of leg up. According to reports, the entire leadership team of the Australian national team decided to cheat by...more

Culture and Leadership in Middle Management

by Michael Volkov on

We always hear about the importance of tone-at-the-top. Corporate leaders are very familiar with how to say the right things about ethics and compliance and the company’s culture. But we all know that words are cheap – it...more

Leadership Lessons from Abraham Lincoln

by Thomas Fox on

The leadership lessons from the race to the South Pole renewed my interest in leadership for the compliance practitioner. In a New York Times (NYT) article, entitled “Lincoln’s School of Management”, Nancy F. Koehn, a...more

Leadership Lessons from the Race to the South Pole

by Thomas Fox on

The golden age of polar exploration lasted from about 1895 to 1912 during which time explorers raced to reach both the North Pole and South Pole. Even today those explorations and expeditions raise admiration and awe. Today,...more

Another Way Sexual Harassment Is Pernicious | #YCDEthics

by NAVEX Global on

We shouldn’t mince words: sexual harassment is morally repugnant. I wish that’s all we had to say to make it end. However, in life, there are times when what is morally right doesn’t win out and people behave wrongly,...more

Practical Suggestions on ‘Why Compliance Programs Fail’

I recently cracked open my Harvard Business Review to the article on “Why Compliance Programs Fail.” I read with great interest the authors’ theory on how weak, milk-toast metrics can result in check-the-box, paper-only...more

Leadership Lessons from Antarctic Explorers and Adventurers

by Thomas Fox on

Henry Worsley and Ernest Shackleton are related by more than blood. They are related by their souls. A distant relative, Frank Worsley had accompanied Shackleton on his Antarctic expeditions, including the abortive Nimrod...more

The Importance of Knowing Your Industry and Business Leadership

Craig Mills, shareholder and co-chair of Buchanan Ingersoll & Rooney's Litigation section, talks with Janet Lee, general counsel at ANSYS, a global leader in engineering simulation. Craig and Janet discuss: • The importance...more

Leadership Lessons from Lawrence of Arabia

by Thomas Fox on

In this month of Oscar, I am continuing to explore leadership lessons which can be drawn from Best Picture winning movies. Today, I want to consider the leadership lessons which can be drawn from T. E. Lawrence, who was...more

Emotional Intelligence Has 12 Elements. Which Do You Need to Work On?

by Adrian Dayton on

I like to consider myself a person of higher EI, and this article really hit home. If you think of every character trait as being a trade-off between two, a higher EI trait means a lack in something else....more

Revisions Proposed to the UK Corporate Governance Code: An Overview and Comparison with Aspects of US Corporate Governance

In December 2017, the UK Financial Reporting Council (the “FRC”) proposed revisions to the UK Corporate Governance Code. These revisions will impact companies with a Premium Listing of equity shares in the UK, which are...more

Holmes, Innovation & Compliance: Part V – The Digital Future

by Thomas Fox on

I conclude my week-long exploration of the intersection of Sherlock Holmes, innovation and compliance by asking: is your compliance function ready for a digital future?...more

Kerr to Warriors – Stand in My Shoes

by Thomas Fox on

Interactivity should make a conversation open and more fluid. You can obtain this by talking with and not just talking to an employee. The purpose of interactivity builds upon the first prong of intimacy. ...more

Leadership Lessons from The King’s Speech

by Thomas Fox on

I want to consider the leadership lesson for a Chief Compliance Officer (CCO) through an exploration of its two protagonists, King George VI and his speech therapist, Lionel Logue....more

Leadership Lessons from Chariots of Fire

by Thomas Fox on

Over on my leadership podcast, 12 O’Clock High, a podcast on business leadership, Richard Lummis and I are back with more leadership lessons from Oscar-winning Best Picture movies. For our first offering this year, we...more

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