Compliance Week TV

In our first Compliance Week TV video we hear from Frank Diana, executive vice president of enherent Corporation, who discusses the challenges involved in information management.
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CPE Credits On Demand!

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Compliance Week Podcasts …

This week’s podcast features Lucy Marcus, CEO of Marcus Venture Consulting, talking about shareholder and director activism, and how corporate executives can work with them more effectively. Hear the podcast now or …

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Compliance Week LinkedIn Group

Visit the Compliance Week has a companion group on LinkedIn, where members can network and discuss the compliance and governance news of the day among themselves. Open to all, free to join.

Webcasts of the Week

Defining and Executing Systematic, Risk-Based Third-Party Due Diligence for FCPA Compliance
Sponsored by The Steele Foundation

Help Wanted: Ad of the Week

Compliance Education & Communications Mgr.
Submitted by Oracle

Event of the Week

Corporate Governance Programs
Courtesy of Harvard Business School

Thought Leadership of the Week

Access Management: Efficiency, Confidence, Control
Courtesy of SAP

The Resource Exchange

Code of Conduct
Submitted by BP

Sample Risk Acceptance Request
Submitted by Circuit City

Featured Databases

Whistleblower Guidelines
Search Whistleblower Policies, Contract Options

Class-Action Filings
Download Text of Class-Action Complaints

GRC Illustrated Series

Improving GRC by Visualizing Your Data
The 24th Installment in This Exclusive Series
Compliance Week Columnists and Guest Columnists

Compliance Week is honored to offer subscribers the exclusive commentary and guidance of numerous securities and governance experts. Some of our regular contributors include:

Headshot Former Securities and Exchange Commission Chairman Harvey L. Pitt
Harvey L. Pitt is a former chairman of the Securities and Exchange Commission, appointed by Pres. George Bush in August 2001. Prior to joining the SEC, Pitt was a senior corporate partner at Fried, Frank, Harris, Shriver & Jacobson. He is currently founder and CEO of Kalorama Partners, a global business consulting firm based in Washington, D.C. Pitt has been a columnist for Compliance Week since October 2003.


Headshot COSO Internal Control, ERM Framework Co-Author Richard M. Steinberg
The principal author of the COSO internal control and ERM frameworks, Compliance Week Columnist Richard M. Steinberg is a well-known governance and auditing expert. The founder and former leader of PricewaterhouseCoopers' corporate governance practice, Steinberg has authored numerous seminal governance reports, including Corporate Governance and the Board—What Works Best.


Headshot Former Financial Executives International CEO Colleen Cunningham
Compliance Week Columnist Colleen Cunningham is the former president and CEO of Financial Executives International. An internationally recognized expert on corporate financial reporting and accounting, Cunningham had significant influence in legislative and regulatory matters including Sarbanes-Oxley, pension reform, and financial accounting standards. The former chief accountant of AT&T, Cunningham was previously the SVP and CFO, North America, of Havas Advertising.


Headshot Former SEC Deputy (and Acting) Chief Accountant Scott Taub
Scott Taub is the former deputy chief accountant of the Securities and Exchange Commission, where he spent more than four years, including a year as acting chief accountant. In his tenure there, he played a key role in the SEC’s implementation of the accounting reforms under the landmark Sarbanes-Oxley Act, and was responsible for the day-to-day operations in the Office of the Chief Accountant.


Headshot Former NIRI Chief Executive Officer Louis M. Thompson
Louis Thompson Jr. is the former CEO of the National Investor Relations Institute. An adviser to the SEC and the NYSE, Thompson is currently serving a second term on the NYSE Individual Investor Advisory Committee. A former member of the Harvard University New Foundations Working Group on corporate governance, Thompson previously served as assistant White House press secretary to President Gerald Ford.


Headshot Resident Institutional Experts Stephen Davis and Jon Lukomnik
Stephen Davis, a Pulitzer-nominated authority on shareholder rights, was a founder of the Global Shareholder Service at the Investor Responsibility Research Center, and also co-founded the International Corporate Governance Network. Jon Lukomnik, a former governor of the ICGN, was previously the deputy comptroller for the City of New York.


Headshot Former SEC Enforcement Counsel Bruce Carton
Bruce Carton is a former senior counsel in the SEC's Division of Enforcement. Previously vice president of Securities Class Action Services group at Institutional Investor Services (ISS, now RiskMetrics), he is also a former securities litigation partner with one of the world’s largest law firms. The editor of Securities Docket, Carton also hosts a Compliance Week blog called, “Enforcement Action.”


Headshot Veteran Internal Auditing Expert Jose Tabuena
José Tabuena is senior vice president of governance and compliance with PhyServe Physician Services, and writes a column every other month about internal auditing challenges. He offers a unique perspective on internal auditing issues bringing Big 4 firm experience and having held a variety of audit-related roles, including compliance auditor, risk manager, corporate counsel and chief compliance officer. Tabuena has conducted sensitive internal investigations and assessed the performance of internal audit and ethics and compliance programs in highly regulated industries.


Headshot Head of Global Compliance Advisers Corp., James Bone
James Bone has more than 29 years of experience in the auditing and risk-management fields. In the course of his career, he has worked for Frito-Lay, Abbott Labs, Stuart-James Investment Bankers, Merrill Lynch Pierce Fenner Smith, and Fidelity Investments. Bone is now an independent consultant and head of Global Compliance Advisers Corp., and is a regular contributor to Compliance Week.


F O R M E R     C O L U M N I S T S

Headshot Ex-Institute of Internal Auditors Prof. Practices Director Dan Swanson
Compliance Week Columnist Dan Swanson is an internal audit veteran, who previously was director of professional practices at the Institute of Internal Auditors. The author of dozens of articles on internal auditing, Swanson has completed audit projects for more than 30 different organizations and has completed nearly 100 internal audits. An expert on financial, operational, and IT audits, his columns on auditing ethics, compliance, and ERM programs have been extremely popular.


Ethics Resource Center President Patricia Harned
Patricia Harned is president of the Ethics Resource Center. The author of several texts on corporate ethics and character development, Harned has commented on the ethical dimensions of regulatory efforts by both the SEC and the U.S. Federal Sentencing Commission, and has testified before Congress on related federal legislation. She was the primary author of a seminal National Business Ethics Survey published in 2005.


More Guest Columns From Compliance, Governance Leaders at Public Companies

SUBMITTING COLUMNS
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Click Here to Submit a Guest Column Idea to the Editor

Compliance Week regularly publishes guest columns from regulators, standard setters, and GRC leaders at U.S. public companies. Recent contributors have included former FASB Chairman Dennis Beresford, Paychex Audit Committee Chairman David Flaschen, former SEC Assistant Chief Accountant Ernest Ten Eyck, former Aetna VP Corporate Compliance James Bowers, Abbott Laboratories VP Ethics and Compliance Catherine Sazdanoff, and many others.

E D I T O R I A L S

Editorials by Compliance Week’s Publisher and Editor
Compliance Week’s Publisher Scott Cohen, and Editor-in-Chief Matt Kelly, have written extensively on governance, risk, and compliance over the last few years. Some of their editorials critique the SEC’s shortcomings or the regulatory environment, while others tackle GRC issues at large; many simply offer a humorous take on a variety of issues—from shareholder proposals to corporate risk factors.