Everything Compliance - The Elon Etc Edition
Salvador Dahan on the Journey of Petrobras
Susan Roberts on Creating a Compliance Program Book
Across the Board – Episode 1: What’s the Tone at the Very Top
Compliance into the Weeds: Episode 117-Wells Fargo Update
Podcast: Common Risks and Challenges in Running a Global Ethics & Compliance Program
Legal Risk Management Forum: panel highlights
The Compliance Challenge: Managing Legal & Regulatory Risk
Episode 22: Social Impact Programs: Why Purpose Makes a Difference
COMPLIANCE INTO THE WEEDS-EPISODE 45, THE UNDESERVED PRIVILEGE EDITION
Compliance Into the Weeds-Episode 42, the Uber Edition
Day 22 of One Month to Better Compliance Through HR-10 Questions to Better Operationalize Compliance
Day 20 - Compliance Leadership from the Bottom
Operationalizing Compliance Through Your Tone in the Middle
Day 1 of 30 Days to a Better Compliance Program, Tones in an Organization
Ten Hallmarks of an Effective Compliance Program-Hallmark 1
This week we have been exploring how Chief Executive Officers and other senior executives can set an appropriate Tone at the Top by actually walking-the-walk of compliance rather than simply talking-the-talk of compliance....more
We continue our blog post series on how CEOs and top senior executives can demonstrate the ubiquitous Tone at the Top. Setting the tone of doing business ethically and in compliance is one of the most critical...more
We continue our exploration of how CEOs and senior executives are uniquely positioned to drive home the importance of ethical behavior and adherence to compliance regulations. Today, we consider the humble email and how it...more
Mike Volkov, in a blog post entitled, Mood in the Middle Versus Tone at the Top, said, “Even when a company does all the right things at the senior management level, the real issue is whether or not that culture has embedded...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
Everyone has jumped on the corporate culture bandwagon. For some new converts, they like to espouse corporate culture as a recent discovery, or a new-fangled approach for compliance programs....more
We always read about the superstar CEO. The company’s leader who is paid millions and is the rock star of business success. Board members, shareholders and stakeholders support the leader because he/she has brought...more
Cataloguing everything your compliance program does isn’t easy, but Susan Roberts, who recently retired from full-time corporate life after serving as Chief Compliance Officer at three different companies, did just that. And...more
Businesses have to evolve in order to respond to the market, consumer demands, societal pressures and stakeholder expectations. Companies grow and pivot in two ways – organically or through acquisition or sales of parts....more
Corporate cultures do not operate in a silo or free from external influences. Yet again, another profound grasp of the obvious. Employees, managers and senior leadership all bring their own experiences, perspectives,...more
One of the topics I enjoy exploring the most is all things around innovation in compliance. In fact, I dedicate an entire podcast to just that topic, which is aptly named Innovation in Compliance....more
I continue my short series on what leadership lessons might be learned from four Presidents immediately preceding the Civil War with the presidency of Millard Fillmore the 13thPresident, who assumed the office upon the death...more
There are a lot of talented CEOs. Some remarkable leaders, innovators and eloquent spokespeople for their companies. In several recent experiences, I have been befuddled by some CEOs....more
When companies come under investigation, the DOJ will ask two principal questions about the company’s compliance function. The first question is “what was the state of the compliance program at the time of the improper...more
We often hear the compliance refrain on the importance of tone-at-the-top – meaning when the board, the CEO and senior executives demonstrate by communications and by conduct their commitment to a culture of ethics and...more
In 2015, when FIFA was experiencing scandal from all sides, lifelong sports fan Pedro Castro Nevares was called in to take over the compliance function at Torneos y Competencias, a South American sports marketing firm that...more
I continue my exploration of how to change the culture in an organization based upon a series of articles in the most recent edition of the Harvard Business Review (HBR) by Boris Groysberg, Jeremiah Lee, Jesse Price and J....more
What exactly does “corporate culture” mean? Compliance professionals often talk about how important “tone from the top” or the “mood in the middle” is, but what does that really mean?...more
Think about the task facing new Uber Chief Executive Officer (CEO), Dara Khosrowshahi. He is working to overhaul a toxic corporate culture, while dealing with regulators literally across the globe. ...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
Today, I wanted to consider some of the recent leadership lessons I have explored on my podcast, 12 O’Clock High, a podcast on business leadership. In the series, host Richard Lummis and myself, mined some of our favorite...more
Last summer I ran a two-week, combined blog and podcast series on the Ten Hallmarks of an Effective Compliance Program. The series was quite well received. As I fancy myself the Nuts and Bolts compliance guy and inspired an...more
This is the fifth in a series of posts reflecting excerpts from a chapter that I authored on corporate social responsibility (“CSR”) for the Corporate Legal Compliance Handbook. Integrating CSR into the framework of a...more
Everyone likes to give advice on the importance of tone-at-the-top. Like many things in life, it is easy to talk about but much more difficult to implement. There are lots of ways to describe or analyze the same issue....more