Popular, Risk Assessment, Ethics

All together now: Post-acquisition compliance program integration

Society of Corporate Compliance and Ethics... on 7/31/2024

The due diligence process is a critical element in a merger and acquisition transaction. Most companies clearly define the steps and rarely skip them. However, the participants in the process vary widely, and ethics and...more

[Event] Healthcare Basic Compliance Academy - August 19th - 22nd, Washington, DC

Health Care Compliance Association (HCCA) on 6/17/2024

This three-and-a-half-day, classroom-style learning experience is designed for compliance professionals ready to advance their career by mastering the fundamentals of compliance program management in a healthcare setting....more

AI in Compliance Week: Part 2- A Comprehensive Governance Approach

Thomas Fox - Compliance Evangelist on 6/11/2024

We continue our weeklong exploration of issues related to using Generative AI in compliance by examining some AI governance issues. In the rapidly evolving landscape of AI, the importance of robust governance frameworks...more

Happy birthday, ChatGPT! Celebrating 1 year with the top 10 milestones in AI governance

Mitratech Holdings, Inc on 11/29/2023

A year in review for the ChatGPT (chatbot generative pre-trained transformer) — and a look ahead at the global response to AI & which governance “guardrails” are required. On November 30th, 2023, the world will celebrate...more

Cybersecurity Experts Urge Responsible AI Adoption, Not Overreliance

HaystackID on 10/25/2023

Editor’s Note: This article covers valuable insights on artificial intelligence’s (AI) evolving role in cybersecurity and incident response shared during an expert panel discussion. As cybersecurity, information governance,...more

Common PCAOB Inspection Findings and Actions Firms Can Take to Improve Audit Quality and Reduce the Risk of Regulatory Enforcement...

Ankura on 10/11/2023

In July 2023, the PCAOB published the spotlight, “Staff Update and Preview of 2022 Inspection Observations.” The article summarized the PCAOB's common findings from its 2022 inspection season. Many of the findings observed in...more

The Unique Elements of Healthcare Compliance Programs (Part II of II)

The Volkov Law Group on 6/28/2023

Corporate compliance programs in the healthcare industry include many of the same elements that we are all familiar with – risk assessments, code of ethics, written policies and procedures, comprehensive training...more

[Event] 20th Annual Compliance & Ethics Institute - September 19th - 22nd, Las Vegas, NV

Society of Corporate Compliance and Ethics... on 7/15/2021

SCCE’s Compliance & Ethics Institute is the primary educational and networking event for compliance and ethics professionals worldwide. Leading industry professionals cover real‑world compliance issues, emerging trends, and...more

The Importance of Pre-Acquisition FCPA Due Diligence (Part II of III)

The Volkov Law Group on 9/13/2018

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

Is Your Company At-Risk for a Government Enforcement Action?

The Volkov Law Group on 7/24/2017

For some reason, I have always believed that picking successful stocks should not be very difficult. Unfortunately, my record in the stock market does not back up my self-assessment. On the other hand, when it comes to...more

Effective Ethics and Compliance Training

Thomas Fox - Compliance Evangelist on 2/14/2017

In a recent Slate article, entitled “Ethics Trainings Are Even Dumber Than You Think”, author L.V. Anderson railed against what she termed box-checking training where companies put on training not to actually train employees...more

Top Ten Ethics & Compliance Predictions & Recommendations for 2016

NAVEX on 3/7/2016

To help with our predictions and recommendations, we’ve talked with industry experts, our colleagues at NAVEX Global, and ethics and compliance professionals from our more than 12,500 client organizations. Based on their...more

How Can I Make Sure My Compliance Training Program Covers All My Risks?

NAVEX on 11/11/2015

Building a compliance training program that covers all of your organization’s risks isn’t easy. To do it in a way that ensures you cover your bases without creating training fatigue means creating a multiyear training...more

TN Ethics Opinion Approves Lawyers’ Cloud Storage of Client Data

Burr & Forman on 9/25/2015

Tennessee has joined other states in formally approving lawyers’ cloud-storage of client-confidential data. The Board of Professional Responsibility (“BOPR”) held that lawyers ethically may use cloud storage for...more

DOJ’s Warning to High-Tech Companies: SAP Official Pleads Guilty To FCPA Violation

The Volkov Law Group on 8/25/2015

When DOJ acts, they like to make a splash. While the FCPA Paparazzi have been lamenting the “slow down” in FCPA enforcement actions and the increase in case closings, DOJ still makes its mark when it acts, and I expect more...more

FCPA Compliance and Ethics Report-Episode 153-Doing Compliance in an Economic Downturn

Thomas Fox - Compliance Evangelist on 4/23/2015

The energy industry is in turmoil from the drop in the price of oil from $100 down to around $50 per barrel. Many energy companies have laid off up to 30% of their workforce. What can you do from the compliance perspective...more

Seven Training Imperatives to Address Your Biggest Cyber Security Risk: Employee Behavior

NAVEX on 3/31/2015

One of your best defenses against a cyber attack? Your employees. Make sure they are trained on their role in protecting your organization. There are pros and cons to the digital world that we all live in. Pros include...more

FCPA Compliance and Ethics Report-Episode 88, Internal Controls for Third Parties Under the FCPA, Part I

Thomas Fox - Compliance Evangelist on 9/16/2014

In this episode 88 of the FCPA Compliance and Ethics Report, I visit with noted internal controls expert Henry Mixon on the types of internal controls needed for third parties in a FCPA compliance program. ...more

Increasing Risks of Fraud; Compliance Failures; A Willingness to be Unethical

Dorsey & Whitney LLP on 6/30/2014

Cyber security, corruption and unethical behavior pose significant risks for business enterprises, according to a new survey by EY titled “Overcoming Compliance Fatigue’. At the same time business organizations may be...more

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