Innovation in Compliance: Innovative Approaches to Compliance and Training with Catherine Choe
Compliance Tip of the Day: Multiplying the Influence of Compliance
Compliance tip of the Day: Communication Through Persuasion
Compliance Tip of the Day: Empowering Middle Managers to Drive Compliance Transformation
Compliance Tip of the Day: Middle Managers as the Eyes and Ears of Compliance
Compliance Tip of the Day – Role of Chatbots in Compliance
Beyond the Bylaws: The Medical Staff Show | The Role of Bylaws in Medical Staff Governance, Part II
The Presumption of Innocence Podcast: Episode 60 - Enforcement Priorities of the Second Trump Administration: Employee Retention Tax Credit
Compliance Tip Of the Day: Using AI to Transform Whistleblower Response
FCPA Compliance Report: Amanda Carty on a Due Diligence and Risk Management
FCPA Compliance Report: Kristy Grant-Hart on A 360° Review of the Future of Compliance
Great Women in Compliance: Creating Space to Speak Up: The Story Behind Psst.org
Work This Way: A Labor & Employment Law Podcast | Episode 43: How Employers Can Navigate White Collar Crime with Erica Barnes & Christian Dysart of Maynard Nexsen
The Presumption of Innocence Podcast: Episode 59 - Enforcement Priorities of the Second Trump Administration: DOJ Focus
Creativity and Compliance: Bringing Joy to Compliance: A Conversation with Virginia MacSuibhne
Beyond the Bylaws: The Medical Staff Show - The Role of Bylaws in Medical Staff Governance, Part I
Compliance Tip of the Day: Embedded Compliance
Auditing Your Hotline and Case Management System
Compliance and AI: Ali Khan on Implementing AI Risk Management Systems
Compliance Tip of the Day: AI for Whistleblower Anonymity
On this episode of Culture & Compliance Chronicles, Amanda Raad and Nitish Upadhyaya from Ropes & Gray’s Insights Lab, and Richard Bistrong of Front-Line Anti-Bribery, are joined by Danny Mayhew, the global head of...more
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
Among the most critical developments companies and their counsel should understand in 2023 is that federal officials will now scrutinize the overall state of your compliance program when they consider potential criminal...more
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
This is a topic that every compliance professional has to address in one form or another. Chief compliance officers are so busy that they often cannot even take the time to tackle this difficult issue. This is a real...more
To say it’s a challenge might be an understatement: Many managers are wondering to what extent their regulators will allow them to modify compliance standards during COVID-19....more
Most experts agree that whichever regulatory jurisdiction an organisation is subject to, there are five common fundamentals involved in providing effective corporate compliance....more
I have been thinking quite a bit about the future of the corporate compliance function. Our profession seems to be an inflection point, moving away from the lawyer-driven written policies and procedures to a more...more
Now that the sugar and the frivolity of the holiday season have worn off, let’s talk more about the different types of compliance management activities that will ensure your obligations are met, and some of the specific needs...more
With a new year, many folks have been promoted to the CCO chair. What should be your plan starting the new year and a new job. The answer is found in the eBook Compliance Program Game Plan by myself and Jonathan Marks. ...more
Growing Chinese illicit finance threats, vulnerabilities, and exposure are combining to increase illicit financing risk in the international financial system, judging from a series of recent advisories, sanctions actions,...more
From the HR and compliance perspective, there are four steps to undertaking a gap analysis: 1) understanding the compliance and HR environment in your organization; 2) taking a holistic approach to understanding the...more
How does your organization support its ethics and corporate values required to support an integrity program? This is more than creating institutional justice and institutional fairness....more
V.S. Naipaul died last week. He was a Trinidadian born grandson of Indian indentured servants sent to the island to work in the sugar plantations. From those humble beginnings, Naipaul rose to the heights of the literary...more
Yesterday I introduced, with the help of the Red Baron, the topic of a Compliance Center of Excellence (CCoE). Today I want to expand out into how a Chief Compliance Officer (CCO) or compliance practitioner would design a...more
We need to start giving compliance a better foundation of basic knowledge, strategies and practical approaches. The compliance profession can adopt common solutions to problems for different companies....more
There are many competing business and legal considerations that can shape corporate record retention policies. Federal and state governments have enacted statutes, and agencies have issued myriad regulations that require...more
In Part IV of my series on ISO 37001, I examine requirements relating to risk assessments, design of policies and procedures, and due diligence requirements. Section 4.5 sets out requirements for conducting risk...more
Compliance practitioners divide their commentary and insights into two general categories – ethical culture and compliance controls. It is easy to divide compliance issues into these two categories. Ethical culture articles...more
I guess Matt Kelly cannot leave his journalist roots for it was he who broke the story within the greater compliance community that the Department of Justice (DOJ) very quietly released a document, entitled “Evaluation of...more