There’s no guarantee that any company won’t end up in Chapter 11 or won’t acquire another company going through it. When either happens, there are serious implications for the compliance team.
As Kasey Ingram, General...more
Codes of conduct are ubiquitous these days, and they are often digital. It’s a way to make them more accessible, and more in line with how people work.
But what if you took that virtual approach up a bit? That’s what TAQA...more
You’re about to begin a complex investigation. What should you be thinking about? What should your first steps be? And what tricks of the trade are there?
To find out we spoke with Tech Data’s Jannica Houben, Vice President...more
9/16/2021
/ Chain of Custody ,
Chief Compliance Officers ,
Compliance Commitees ,
Documentation ,
Enforcement Authority ,
Information Technology ,
Internal Communications ,
Internal Investigations ,
Interviews ,
Multinationals ,
Reporting Requirements
Ted Lasso has been a pandemic streaming success story. The show stars Jason Sudeikis as an American college football coach hired to lead a troubled English soccer (football) club.
Unlike the typically-portrayed coach,...more
So much attention is paid to vetting third parties, it’s easy to forget that it is just the start of the process. Monitoring needs to be done on an ongoing basis as well.
Ronnie Kann, head of Global Ethics & Compliance at...more
What does the SEC expect from an internal investigation? It’s a topic that Nick Morgan, partner, Paul Hastings and Andy Dunbar, Chief Compliance Officer, Herbalife Nutrition tackle in this podcast and will be addressing at...more
Mergers and acquisitions can be filled with landmines. To find out what compliance teams can do to help manage the risk, and help ensure a successful transaction for the business unit, we spoke on this podcast with Fernanda...more
Brooke Nelson, Executive Director, Worldwide Compliance and Business Ethics at Amgen had a unique and broad perspective on managing compliance during the pandemic.
In this podcast she shares what she has seen, including a...more
It isn’t enough just to set your eyes on the goal of chief compliance officer. Nor is it probably advisable to walk into the CEO’s office and make your pitch should the job become open.
In this podcast Jim Passey, who has...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
6/17/2021
/ Acquisitions ,
Chief Compliance Officers ,
Chief Ethics and Compliance Officers (CECO) ,
Code of Conduct ,
Compliance ,
Compliance Monitoring ,
Corporate Governance ,
Corporate Integrity Agreement ,
Corrective Actions ,
Discipline ,
Ethics ,
Incentives ,
Internal Audit Functions ,
Internal Investigations ,
Internal Reporting ,
Policies and Procedures ,
Risk Assessment ,
Risk Management ,
Third-Party Risk ,
Tone At The Top ,
Training
Cheryl Curbeam, Vice President, Chief Risk and Compliance Officer at Corteva Agriscience has had a very interesting and unusual path to the compliance professional. She studied and began her career in mechanical engineering...more
The Environmental, Social and Governance (ESG) movement has been around for a long time, but over the last year it has hit a tipping point. In fact, according to Roy Snell, former SCCE & HCCA CEO and now advisor to Osprey ESG...more
During the second half of 2020 Gartner Research evaluated the compliance spending of 117 organizations, and the company recently released the interesting findings. Brian Lee, Managing Vice President in the Gartner Legal and...more
The playing field for anticorruption never stops changing, with new laws and new risks constantly arising. To help sort things out, and to gain his insight into other compliance challenges, we sat down with Gary Kalman,...more
4/29/2021
/ Anti-Bribery ,
Anti-Corruption ,
Beneficial Owner ,
Chief Compliance Officers ,
Compliance ,
Corruption ,
Counterfeiting ,
Extortion ,
Federal Contractors ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
Law Enforcement ,
New Legislation ,
Pirating ,
Proposed Legislation ,
Public Corruption ,
Supply Chain
It’s not an easy time for compliance budgets. Never exactly padded, they are under pressure as organizations try to control costs during the pandemic era.
While management may feel as if compliance should be included in an...more
In-person compliance training can have an impact like no other. But it has to be done right, which isn’t easy especially during the pandemic. Richard Bistrong, who specializes in delivering in-person compliance training,...more
Privacy continues to be a challenging issue for healthcare providers. Chrissy Kyak, Compliance & Privacy Officer for Medstar Georgetown University Hospital, MedStar Montgomery Medical Center and MedStar Health Research...more
3/4/2021
/ Chief Compliance Officers ,
Chief Privacy Officer ,
Compliance ,
Coronavirus/COVID-19 ,
Cybersecurity ,
Data Breach ,
Data Privacy ,
Data Security ,
Electronic Protected Health Information (ePHI) ,
Health Care Providers ,
Infectious Diseases ,
Patient Privacy Rights ,
PHI ,
Physicians
Digitalization and the proliferation of apps have changed the relationship in healthcare between data, the patient and provider, explains Hema Lakkaraju, CEO and founder of Hayag Corporation. It is often unclear who is...more
1/28/2021
/ Artificial Intelligence ,
Big Data ,
Blockchain ,
Chief Compliance Officers ,
Chief Ethics and Compliance Officers (CECO) ,
Compliance ,
Consumer Privacy Rights ,
Data Collection ,
Data Management ,
Data Privacy ,
Data Security ,
Data Storage ,
Data-Sharing ,
Electronic Protected Health Information (ePHI) ,
Ethics ,
Health Care Providers ,
Health Information Technologies ,
Patient Privacy Rights ,
Risk Management ,
Third-Party Risk
The approach to compliance programs of the Antitrust Division at the US Department of Justice has evolved considerably over the last few years, starting with the release of their watershed Evaluation of Corporate Compliance...more
1/14/2021
/ Antitrust Division ,
Antitrust Investigations ,
Chief Compliance Officers ,
Compliance ,
Compliance Monitoring ,
Cooperation ,
Criminal Investigations ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Remediation ,
Self-Reporting
Recently the Health Care Compliance Association released the new Health Care Privacy Handbook, 3rd Edition.
https://www.hcca-info.org/health-care-privacy-handbook
To learn what’s new in the book and in healthcare privacy...more
12/22/2020
/ Chief Compliance Officers ,
Cybersecurity ,
Data Breach ,
Data Privacy ,
Data Protection ,
Data Security ,
Electronic Protected Health Information (ePHI) ,
FERPA ,
Health Care Providers ,
Health Insurance Portability and Accountability Act (HIPAA) ,
Health Plan Sponsors ,
HIPAA Breach ,
HIPAA Breach Notification Rule ,
HIPAA Security Rule ,
Medical Records ,
Patient Privacy Rights ,
PHI ,
Privacy Act of 1974
There has been much discussion over the years about the relationship between enterprise risk management (ERM) and compliance risk management. Making the discussions more complex has been a tendency to approach risk management...more
It’s a very busy time for compliance professionals overseeing businesses operating in India, reports Arpinder Singh, India & Emerging Markets Leader at EY Forensic & Integrity Services. There are a dizzying number of new...more
12/4/2020
/ Auditors ,
Board of Directors ,
Business Disruption ,
Chief Compliance Officers ,
Competition ,
Compliance ,
Coronavirus/COVID-19 ,
Corporate Governance ,
Corporate Investigations ,
Corporate Officers ,
Corruption ,
Data Privacy ,
Data Protection ,
Ethics ,
India ,
Insider Trading ,
New Regulations ,
New Rules ,
Prevention of Corruption Act (PCA) ,
Privacy Laws ,
Ransomware ,
Remote Working ,
Reporting Requirements ,
Risk Management ,
Supply Chain ,
Whistleblowers
In the latest episode of the Compliance Perspectives podcast we are joined by Daniel Kahn, the Acting Chief of the Fraud Section at the Department of Justice.
We begin the conversation with a discussion of the latest...more
11/5/2020
/ Chief Compliance Officers ,
Compliance ,
Corporate Governance ,
Criminal Prosecution ,
Data Collection ,
Department of Justice (DOJ) ,
Due Diligence ,
Enforcement Actions ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
Internal Controls
Few things send shivers down the spines of compliance officers more than reports that one of their own has been found personally liable for wrongdoing at their organization.
And while some have tried to increase those fears,...more
The value of good risk management, both in compliance programs and even our personal lives, has never been more important. These days we find ourselves recalculating everything from the compliance risk of a new business...more
9/10/2020
/ Anti-Bribery ,
Anti-Corruption ,
Antitrust Violations ,
Business Strategies ,
Chief Compliance Officers ,
Compliance ,
Corrective Actions ,
Department of Justice (DOJ) ,
Due Diligence ,
Ethics ,
Risk Assessment ,
Risk Management ,
Social Media ,
Third-Party Risk