NAVEX Global’s 2018 Hotline & Incident Management Benchmark Report takes anonymized data collected from the world’s largest and most comprehensive database of reports. The report provides expert analysis of data that ethics...more
In an expected ruling, the Supreme Court held that Dodd-Frank’s anti-retaliation provision does not extend to an individual who has not reported a violation of the securities laws to the SEC. The court signaled this outcome...more
2/23/2018
/ Anti-Retaliation Provisions ,
Digital Realty Trust Inc v Somers ,
Dodd-Frank ,
Internal Reporting ,
Reporting Requirements ,
Retaliation ,
Sarbanes-Oxley ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Whistleblower Protection Policies ,
Whistleblowers
The fact that sexual harassment continues to dominate the headlines hopefully foreshadows some fundamental changes in how organizations identify and deal with this insidious cultural failure. And we all have something to...more
Organizations that focus on creating ethical cultures come out ahead -
That’s why this year’s conference theme is Ignite a Winning Workplace Culture. Winning cultures do not happen accidentally – they’re navigated by...more
Never has it been more critical to create an open and constructive organisational culture, where employees feel the ability to raise issues freely without fear of recrimination, and to have those issues listened to and...more
Attorney General Jeff Sessions was a keynote speaker at the 2017 Ethics & Compliance Initiative’s Annual Conference last week. Whatever your politics are, it was important that we hear from him on his priorities for...more
NAVEX Global partnered with an independent research agency to investigate how companies headquartered across Europe, Middle East and Africa (EMEA) and Asia Pacific (APAC) develop and execute their ethics and compliance (E&C)...more
3/23/2017
/ Anti-Corruption ,
Asia Pacific ,
Benchmarking ,
Compliance ,
Corporate Culture ,
Corporate Misconduct ,
Deferred Prosecution Agreements ,
Due Diligence ,
EMEA ,
Ethics ,
Managers ,
Retaliation ,
Supervisors ,
Surveys ,
Third-Party Risk ,
Whistleblowers
Case closure times on employee hotline reports improved last year—one of the most promising findings in NAVEX Global’s 2017 Hotline Benchmark Report. The four-day drop in median closure time indicated in the 2016 report halts...more
The U.S. Department of Justice (DOJ), Criminal Division, Fraud Section, recently released new guidance associated with its Guide to the U.S. Foreign Corrupt Practices Act. The guidance, entitled Evaluation of Corporate...more
2/24/2017
/ Compliance ,
Confidential Communications ,
Corporate Misconduct ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Discipline ,
Federal Sentencing Guidelines ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
Incentives ,
Internal Investigations ,
Management ,
Merger Controls ,
New Guidance ,
Policies and Procedures ,
Risk Assessment ,
Third-Party Risk ,
Training
In order for a business conduct and compliance programme to be successful, it must be firmly rooted and supported by company values that are reflected in a strong corporate culture. But even in the best companies, subcultures...more
Every year it’s safe to assume that our list of Top 10 trends will include the latest developments pertaining to helplines, whistleblower reporting and retaliation, and this year is no exception. We begin by examining some...more
1/3/2017
/ Anti-Retaliation Provisions ,
Chief Compliance Officers ,
Compliance ,
Department of Justice (DOJ) ,
Employee Training ,
Ethics ,
Internal Investigations ,
Internal Reporting ,
Managers ,
Supervisors ,
Whistleblower Hotlines ,
Whistleblower Protection Policies ,
Whistleblowers ,
Yates Memorandum
It’s been a month since ISO 37001 was published and there are some questions we have heard percolating in the compliance world about what this means. These are the questions we’ve been hearing the most...more
11/17/2016
/ 501(c)(3) ,
Anti-Bribery ,
Anti-Corruption ,
Certifications ,
Compliance ,
Foreign Corrupt Practices Act (FCPA) ,
International Organization for Standardization ,
ISO ,
Publicly-Traded Companies ,
Risk Assessment ,
Risk Management ,
Small Business ,
UK Bribery Act
One collection of terms I hear a lot is “tools, processes and people.” All three need to be successfully deployed to make a compliance program run properly while also creating an organizational culture that supports...more
11/15/2016
/ Benchmarking ,
Chief Compliance Officers ,
Complaint Procedures ,
Compliance ,
Corporate Culture ,
Employee Training ,
Ethics ,
Incident Response Plans ,
Internal Investigations ,
Internal Reporting ,
Policies and Procedures ,
Retaliation ,
Risk Management ,
Whistleblower Hotlines ,
Whistleblowers
Join professionals in ethics and compliance, human resources, legal, audit and training for the annual 2016 Ethics & Compliance Virtual Conference! Learn strategies to help you build a better governed, more risk-aware, and...more
10/17/2016
/ Anti-Corruption ,
Anti-Retaliation Provisions ,
Benchmarking ,
C-Suite Executives ,
CCO ,
Code of Conduct ,
Compliance ,
Corporate Culture ,
Department of Labor (DOL) ,
Equal Employment Opportunity Commission (EEOC) ,
Ethics ,
Foreign Corrupt Practices Act (FCPA) ,
Global Workforce ,
Internal Reporting ,
Pay Equity Laws ,
Popular ,
Retaliation ,
Third-Party Risk ,
Webinars ,
Whistleblowers ,
Workplace Investigations
July 30 marks the 238th anniversary of passage of the first congressional protections for whistleblowers in the United States. As they have done in recent years, officials in Washington, D.C., will celebrate the anniversary...more
Benchmarking your organisation’s data against your peers across EMEA & APAC provides critical insights into the health of your ethics and compliance programmes. Our new report gives the most comprehensive picture of...more
5/19/2016
/ Asia Pacific ,
Benchmarking ,
Compliance ,
Corporate Culture ,
EMEA ,
Ethics ,
EU ,
Retaliation ,
Risk Mitigation ,
Whistleblower Hotlines ,
Whistleblowers
In our second annual policy management benchmark report, which will be released first to everyone who registers for our upcoming webinar, we’ve uncovered new trends and insights that you can put to work in your program today....more
You’ve heard it time and time again—one of the most effective ways to measure your compliance initiatives is to analyze the data you’re already collecting from internal reporting systems. However: how do you know if your data...more
In 2015, NAVEX Global partnered with an independent research agency to survey ethics and compliance professionals with responsibility for administering training across their organizations. The goal was to determine their top...more
The headlines lit up this month when the Securities and Exchange Commission (SEC) issued its first-ever award to a whistleblower who wasn’t employed by the company on which he had blown the whistle. The award was a...more
While compliance professionals may not like what whistleblower plaintiff’s counsel have to say about ethics and compliance programs, their insights are invaluable for organizations who want to increase their program...more
On November 16, 2015, the U.S. Securities and Exchange Commission issued its 2015 Annual Report to Congress on the Dodd-Frank Whistleblower Program and, to no one’s surprise, the program is going strong awarding over $37M to...more
DOJ’s new compliance expert brings private practice insights to the department.
The Fraud Section of the Department of Justice (DOJ) announced earlier this month that it has hired Hui Chen as its “full-time compliance...more
Too many organizations learn the hard way that failure to create a speak-up culture poses risks that go far beyond financial calamity. Volkswagen (VW) appears likely joining those sad ranks today, as it scrambles to figure...more
9/22/2015
/ Automotive Industry ,
Board of Directors ,
Carbon Emissions ,
Code of Conduct ,
Compliance ,
Corporate Culture ,
Corporate Executives ,
Environmental Protection Agency (EPA) ,
Fraud ,
Scandals ,
Volkswagen
Those of us working in the ethics and compliance field know that there is no shortage of guidance on best practices for establishing and maintaining an ethics and compliance program. In the U.S., the Federal Sentencing...more