Episode 347 -- LRN's Code of Conduct Survey
Conducting Healthcare Compliance Investigations
Third Party Ethical Audits
Tying Corporate Compliance & Ethics Week to Your Values
Patty Houser on Supplier Codes of Conduct
Abdul Rahman Al Jaabari on a Virtual Reality Code of Ethics & Business Conduct
Susan Roberts on Creating a Compliance Program Book
Cheryl Curbeam on Creating a Compliance App
Compliance Perspectives: Simplifying the Code of Conduct
Employment Law Now IV-65- The Great Debate Part 2: Employee Lawyer vs. Employer Lawyer
Compliance Perspectives: The Impact of Workplace Loneliness
Compliance Perspectives: Compliance and Technology
Compliance Perspectives: Rolling Out New Compliance Initiatives
Podcast - Risk Mitigation & Management: Bringing a Compliance Program to Life
Day 3 of One Month to 360-Degrees of Communications in Compliance-The D&B Experience
I-17 – Engaging Your Employees in Today’s Workplace, Featuring Rick Turner at Whirlpool Corporation
Operationalizing Compliance Through Your Tone in the Middle
Day 17 of One Month to Better Compliance Through HR-Using HR to Create an Ethical Culture
Day 15 of One Month to Better Compliance Through HR-Employment Separation Issues
Day 11 of One Month to Better Compliance Through HR-the Fair Process Doctrine
In the second part of this legal update series, we summarize the key takeaways from the Division of Examinations’ (Division) 2025 priorities report released on October 21, 2024. The Division remains focused on mainstays like...more
Election season is officially over, but the tension surrounding discussions about the candidates and the issues in American society is unlikely to end soon. That tension is extending beyond dinner tables and social...more
On October 21, the Securities and Exchange Commission’s (SEC’s) Division of Examinations (Division) released its examination priorities for 2025, outlining the key topics the Division plans to focus on in the upcoming fiscal...more
Bermuda is the world’s leading domicile for captive insurance companies, with over 600 active captive licences on its register generating over US$24 billion in gross written premium. Having formed the first modern captive in...more
We have received several requests for a list of the compliance policies that make sense for every multinational company. So, as a follow-up to our earlier two posts providing “twelve steps to international compliance” (see...more
The EU Artificial Intelligence Act (or “AI Act”) is the world’s first legislation to regulate the use of AI. It leaves room for “technical soft law”; but, inevitably (being the first and being broad in scope), it will set...more
If there ever is an example of a rotten corporate culture, Wells Fargo sits at the head of the class. Since Wells Fargo’s sales pressure scandal, Wells Fargo has continued to suffer from a string of scandals and misconduct. ...more
Business and human rights is continuing its steady march toward becoming a business imperative. There are sweeping new or proposed laws focused on human rights, such as the EU’s Proposal for a Directive on Corporate...more
Bert Kaminski is a seasoned legal counsel in the technology industry, specializing in advanced and emerging fields such as cloud computing, internet of things, artificial intelligence, data science & machine learning. Bert...more
Artificial Intelligence (AI) regulation is coming, and companies considering implementing AI or already utilizing AI should be prepared. Below are 10 steps that companies can take now to harness the benefits of AI in a fair...more
Federal US News - FTC Takes Action Against Companies Falsely Claiming Compliance With International Privacy Agreements - The FTC reached a settlement with a background screening company over allegations it falsely claimed...more
Several years ago (or in the recent past as some would say), pre-acquisition due diligence was a major compliance focus for global companies that grew through aggressive merger and acquisition strategies. ...more
Over the last few months, many employees have sounded the alarm about sexual harassment (not funny). One issued a false alarm about an impending nuclear disaster (also not terribly funny). Sometimes Human Resources...more
There is much for authorised firms to consider in the year ahead. Firms have been through the intensive period of the enactment of the second Markets in Financial Instruments Directive (MiFID II), but must now step up their...more
How does one company and one Chief Compliance Officer (CCO) actively use social media to make more effective the company’s compliance culture? The company is the Dun & Bradstreet (D&B) and its CCO, Louis Sapirman, whom I...more
Just how much can you regulate a public employee’s off-duty conduct? In an interesting and rather frank opinion, the Fifth Circuit found a sheriff’s department could regulate deputies’ private conduct pretty broadly. In...more
The Evaluation of Corporate Compliance Programs document makes clear that operationalization of compliance into an organization should be done at multiple levels in a company. Creating an ethical culture is an important step...more
Employment separation and layoffs can present some unique challenges for the compliance practitioner. Employees can use layoffs to claim that they were retaliated against for a wide variety of complaints, including those for...more
Once again it’s time for our annual review of trends and events that will impact your Ethics and Compliance (E&C) program in the year ahead. This year presents a unique challenge. We are preparing our predictions...more
Compliance and enforcement headlines have focused on the Wells Fargo scandal. And for good reason. On September 8, 2016, the Consumer Financial Protection Bureau, the Comptroller of the Currency and the Los Angeles...more
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
The corporate compliance function is only as successful as its partnerships with key internal constituencies. Depending on the company and the personnel involved, compliance has to establish and maintain effective working...more
Wells Fargo’s cultural tone is not easily segregated between “top,” “middle” and “bottom.” Despite the recent cross-selling scandal, in which the CFPB led an enforcement action whose fines total a whopping $185 million,...more
I want to end this week’s review of the Wells Fargo scandal by considering what is at issue and what is at stake in this imbroglio. Unlike a Foreign Corrupt Practices Act (FCPA) violation, Wells Fargo paid the relatively...more
At least he fessed up that it was not the (non) rogue 5,300 employees that were responsible for defrauding Wells Fargo customers. At the Senate Banking Committee hearing, held on Tuesday 20th September, Wells Fargo Chief...more