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
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
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
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
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
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
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
Most compliance programs include some form of internal compliance committee separate from the company’s audit committee. An internal compliance committee can play a very important role in advancing a compliance program....more
Yesterday, while honoring Ginger Baker who passed away this weekend, I began a multipart series on the Framework for OFAC Compliance Commitments (Framework). Mike Volkov has called this Framework a “game-changer” and has...more
This week in a special five-part podcast series on the FCPA Compliance Report, hosted by GAN Integrity, Inc. (GAN), we consider the evolution of compliance, from disconnected to connected....more
Today, is the second in a two-part series based on an interview with Rakhi Kumar, Senior Managing Director, Head of ESG Investments and Asset Stewardship, at State Street Global Advisors (SSGA) and SSGA’s recent...more
Why is innovation so critical in every compliance program? Is it simply because the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) say it is so; or are there other reasons?...more
A company must have more than simply a good ‘Tone-at-the-Top’; it must move it down through the organization from senior management to middle management and into its lower ranks. This means that one of the tasks of any...more
One of the ongoing questions from members of Board of Directors is how to resolve the tension between oversight and managing. I recently had the opportunity to visit with Joe Howell, the Executive Vice President (EVP) of...more
Key Points - - New Managers-In-Charge regime - Outlines the regulatory obligations and potential liabilities of the senior management of licensed corporations who do not conduct regulated activities -...more
This week I begin a five-part series on innovation in the compliance function. One of the most constant things that I have observed in my nearly 10 years of practice in the compliance space is its constant evolution....more
We begin our exploration of the new Department of Justice (DOJ) Compliance Counsel and the metrics laid out by Assistant Attorney General Leslie called for her review of compliance programs. Today we review the first criteria...more