Fintech Focus Podcast | Managing a Workforce in a Regulated Environment
Fintech Focus Podcast | Growing a Workforce in a Regulated Environment
The Informed Board Podcast | CEO Succession Planning on a Clear Day
What Do We Do Now?! How to Handle an OSHA Inspection
Day 22 of One Month to Better Compliance Through HR-10 Questions to Better Operationalize Compliance
Unfair and Unbalanced-Episode 18
In the recently released 2024 Update to the Evaluation of Corporate Compliance Programs (2024 ECCP), the Department of Justice (DOJ) has brought new challenges and opportunities for compliance professionals. One of the most...more
The 2022 Monaco Memo emphasized the basic point that the key to every company is culture. The bottom line is that corporate culture matters and corporate culture that fails to hold individuals accountable, or fails to invest...more
Compliance professionals constantly seek to understand how systemic issues within corporate hierarchies can lead to severe consequences. The recent revelations about Bank of America’s (BoA) persistent workplace culture...more
Significant Expansion to Corporate Criminal Liability Becomes Law in the United Kingdom - On 26 October 2023, the Economic Crime and Corporate Transparency Act (the Act) became law. Under the Act, corporations will become...more
We all know the adage – Keep it Simple Stupid (“KISS”). The principle applies to all organizations and underscores an important communications requirement. The governance landscape has become more complex over the...more
Ethics and compliance are two sides of the same coin. Compliance is following the law, while ethics is doing what is right regardless of what the law says. Compliance is typically thought of as something required by the...more
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
The Online Safety Bill (the “OSB”) is back on the UK Government’s legislative agenda, this time with an important update relating to criminal liability of senior managers. Following some political wrangling, back-bench MPs...more
I recently visited with Joe Schorr about the managing a multi-entity GRC architecture with 6clicks hub and spoke for a sponsored podcast series. You can check out Joe’s podcast here. Joe is the VP and Global Head of Strategic...more
5 Things to Know for Securing Buy-In and Budgets for Data-Driven Compliance, Monitoring and Investigations... During this one-hour webinar, you will gain practical takeaways on: - What to anticipate: Recent examples of...more
As most of you all know, I can get carried away with one blog post and turn one post into a five-part series. Especially when it has to do with Star Wars. To honor the passing of David Prowse, I decided to dedicate this...more
Regulators consult on anti-money laundering guidelines and issue guidance on cybersecurity, best execution, and senior management accountability. This blog post summarizes key regulatory developments in Hong Kong and...more
Herbalife Nutrition Ltd (Herbalife) recently concluded a long running Foreign Corrupt Practices Act (FCPA) enforcement action with both the Department of Justice (DOJ) and Securities and Exchange Commission (SEC). Herbalife...more
Corporate board members face increasing risks. Federal prosecutors are watching their behavior when corporate malfeasance occurs. Regulators focus on the important issue of board governance. Shareholders are ready to file...more
How does your Code of Conduct inform your risk assessment and how in turn does a risk assessment inform your Code of Conduct training? I recently visited with Charlie Voelker, Director, Compliance Products at Skillsoft and...more
Pete Hamill died Wednesday. According to his New York Times (NYT) obituary, he was the “streetwise son of Brooklyn who turned a gift for storytelling, a fascination with characters and a romance with tabloid newspapers into a...more
The Office of Inspector General (OIG) white paper, “Practical Guidance for Health Care Governing Boards on Compliance Oversight” (OIG Guidance), provides an excellent road map for thinking about how to structure a Compliance...more
At the outset, Novartis is “lucky” – the settlement is relatively positive, despite its 2016 SEC enforcement action in China. Given Novartis weak culture of compliance (if anything, a better description may be a culture of...more
An inspection from the Occupational Safety and Health Administration (OSHA) can affect a construction site in many ways—from workflow disruptions to compliance issues. In this webinar, Michael Metz-Topodas reviews the...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 taking online classes this year from MasterClass, beginning with the writers. I have made it through James Patterson, Malcolm Gladwell and David Baldacci. It is a great way to hear from some of the top...more
I am reluctant to start off the New Year with a negative comment or posting. But I have a significant concern about the path and current state of ethics and compliance....more
The path of the compliance profession has been remarkable. Recently, I have seen a number of tweets and postings from compliance thought leaders touting the accomplishments of compliance and the transformation of the...more
Board oversight of significant company risk areas and legal compliance deserves renewed attention, as the Delaware Supreme Court recently ruled that monitoring practices that have previously been considered acceptable may...more