News & Analysis as of

Chief Compliance Officers Ethics Documentation

Society of Corporate Compliance and Ethics...

[Virtual Event] Fundamentals of Compliance Investigations - December 16th - 17th, 8:00 am - 5:00 pm CT

Handle investigations with confidence - Effective compliance programs rely on effective investigators to follow up on reports and identify potential gaps that need attention. If you are a new or future investigator or are...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Fundamentals of Compliance Investigations - May 1st - 2nd, 10:00 am - 2:00 pm CT

Handle investigations with confidence - Effective compliance programs rely on effective investigators to follow up on reports and identify potential gaps that need attention. If you are a new or future investigator or are...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Fundamentals of Compliance Investigations - November 28th - 29th, 10:00 am - 2:00 pm CT

Gain the tools you need to lead investigations with confidence! Get guidance from experienced practitioners on the core principles of conducting effective compliance investigations. You’ll receive comprehensive instructions...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Fundamentals of Compliance Investigations - September 7th - 8th, 1:00 pm - 5:00 pm CET

Handle investigations with confidence - Learn the core principles of conducting effective compliance investigations including gathering evidence, documentation, conducting interviews, and reporting results....more

Society of Corporate Compliance and Ethics...

[Virtual Event] Fundamentals of Compliance Investigations - June 1st - 2nd, 8:55 am - 1:00 pm SGT

Handle investigations with confidence - We’ve renamed our highly effective workshop, Conducting Compliance Investigations, to better reflect the content. The agenda remains focused on guiding you through the core...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Fundamentals of Compliance Investigations - April 13th - 14th, 10:00 am - 2:00 pm CT

Handle investigations with confidence - We’ve renamed our highly effective workshop, Conducting Compliance Investigations, to better reflect the content. The agenda remains focused on guiding you through the core...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Conducting Compliance Investigations - October 6th - 7th, 8:55 am - 1:00 pm SGT

Want to become a better investigator? Learn the core principles of conducting effective compliance investigations so that you're prepared next time you are called upon. Receive detailed and valuable information from...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Conducting Compliance Investigations - September 27th - 28th, 10:00 am - 2:05 pm CDT

Want to become a better investigator? Learn the core principles of conducting effective compliance investigations so that you're prepared next time you are called upon. Receive detailed and valuable information from...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Conducting Compliance Investigations - April 27th - 28th, 12:55 pm - 5:00 pm CEST

Get the training you need to conduct internal investigations - SCCE's Conducting Compliance Investigations provides two days of focused training on conducting compliance-related internal investigations. Learn from two...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Conducting Compliance Investigations - February 23rd - 24th, 10:00 am - 2:05 pm CST

Want to become a better investigator? Join us at Conducing Compliance Investigations, a two-day virtual event that’ll help you learn the core principles of conducting effective compliance investigations so that you're...more

Society of Corporate Compliance and Ethics...

[Virtual Conference] Encouraging, Managing, and Integrating Employee Reporting - December 1st, 8:25 am - 5:30 pm CST

Do you have questions about how to create a safe, productive space for employees to voice compliance and ethics concerns? Join us December 1, 2021, for a one-day virtual, interactive conference to receive guidance and...more

Society of Corporate Compliance and Ethics...

[Event] Internal Investigations Compliance Workshop - July 19th - 21st, Lake Buena Vista, FL

Get the training you need to conduct internal investigations - The SCCE Internal Investigations Workshop provides two days of focused training on conducting compliance-related internal investigations. Attendees also have...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Essentials of Compliance Investigations Conference - May 20th - 21st, 8:00 am - 12:05 pm CDT

Learn the core principles of conducting effective compliance investigations so that you're prepared next time you are called upon. Receive detailed and valuable information from experienced investigators: Meric Bloch and...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Essentials of Compliance Investigations Conference - April 12th - 13th, 10:00 am - 2:05 pm CDT

Learn the core principles of conducting effective compliance investigations so that you're prepared next time you are called upon. Receive detailed and valuable information from experienced investigators: Meric Bloch and...more

UB Greensfelder LLP

SEC Settlement Proves That When CCOs Spot A Problem, Silence Is Not Golden

UB Greensfelder LLP on

A long time ago, long before there existed any whistleblower statutes, I had a client – a CCO of a broker-dealer – who discovered some pretty funky trading at his firm. As he tells the story, when he went to see his boss (who...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Essentials of Compliance Investigations Conference - January 28th - 29th, 8:55 am - 1:00 pm SGT

Learn the core principles of conducting effective compliance investigations so that you're prepared next time you are called upon. Receive detailed and valuable information from experienced investigators: Meric Bloch and...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Essentials of Compliance Investigations Conference - November 9th - 10th, 10:00 am - 2:05 pm CST

Learn the core principles of conducting effective compliance investigations so that you're prepared next time you are called upon. Receive detailed and valuable information from experienced investigators: Meric Bloch and...more

JD Supra Perspectives

What's the One Thing Missing From Your Corporate Compliance Program?

JD Supra Perspectives on

What's the one thing missing from most corporate compliance programs? For a legal perspective, that's the question we put to corporate attorneys writing on JD Supra, asking each to commit to just one essential element...more

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