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News
The accounting fraud at Olympus Corp. could serve as a catalyst to corporate governance reform in Japan, as a series of accounting scandals did here in the United States. According to an independent investigative report, the problems at Olympus stem from a "yes men" culture that is too common among...
February 7, 2012
Blog Post
Last week Compliance Week and Deloitte co-hosted a discussion about compliance with the Dodd-Frank Act, specifically as it pertains to the oil & gas industry. Inside, Editor Matt Kelly shares some of the participants' observations, since regardless of industry, Dodd-Frank is quickly coming to embody all the practical challenges of...
February 6, 2012
Blog Post
ELT and EthicsPoint, both providers of ethics and compliance training and related services, and Global Compliance Services, a provider of corporate compliance solutions, have announced plans to merge. The newly combined organization will be a portfolio company of private equity firm Riverside Co.
February 3, 2012
Blog Post
Last week the SEC quietly rolled out its first iPhone app. The app is basic, but for an agency that has often lagged behind in technology and social media, it is a step in the right direction. The app offers quick access to SEC news, upcoming events, and contact to...
February 2, 2012
News
No rest for compliance officers at government contractors: 2011 saw a record-setting $2.8 billion in penalties for the False Claims Act last year, with 2012 looking no better. Already GlaxoSmithKline is edging toward a $3 billion settlement, and industry totals this year could hit $9 billion. Among the violations that...
January 24, 2012
Blog Post
The Securities and Exchange Commission has appointed Jane Norberg as Deputy Chief of the Office of the Whistleblower, which oversees the agency's whistleblower program...
January 19, 2012
Blog Post
After serving as the SEC's inspector general for more than four years, David Kotz is leaving the agency to join a private investigative services firm. During his four years at the SEC, Kotz led numerous high-profile investigations, including the one into the SEC's failings on the Madoff case.
January 17, 2012
News
A recent court decision expands protections for whistleblowers and could put companies that retaliate against them in violation of racketeering laws enacted to combat organized crime. Based on the ruling, companies could also be exposed to whistleblower retaliation claims even if they are later cleared of the alleged...
January 17, 2012
News
A new survey from the Ethics Resource Center indicates that workplace ethics may be deteriorating. The survey found a rise in retaliation against whistleblowers, more employees who say they feel pressure to compromise standards, and an increase in the number of companies that are considered to have weak ethics...
January 17, 2012
News
The past year was a busy one for regulatory enforcement. The SEC says it filed a record 735 enforcement actions during the 2011 fiscal year. And while the SEC was in pursuit of Ponzi schemers, inside traders, and other scammers, it was defending itself from Congress, the judiciary, and its...
January 10, 2012
News
Whistleblowers are far more likely to report wrongdoing if they are given a monetary reward, anonymity, and protection from retaliation, says a recent survey by law firm Labaton Sucharow. Since only the SEC is paying a reward right now, that's bad news for compliance departments. But two-thirds of respondents...
January 10, 2012
Blog Post
Executive compensation has suddenly streaked back onto the agenda for ethics and compliance officers, what with ISS announcing new evaluation policies for executive pay and Verizon needing to restate the pay package for its departing CEO. That all leads back to how CCOs can weave ethics incentives into compensation; this...
January 9, 2012
Blog Post
The SEC's whistleblower office, mandated by Dodd-Frank, has gotten a considerable amount of press here and elsewhere. Not as well known, however, is the fact that Dodd-Frank also required the Commodity Futures Trading Commission to create a whistleblower office, and that office got on its feet today with...
January 6, 2012
Blog Post
A new study warns of a serious decline in workplace ethics. The survey, by the Ethics Resource Center, found an increase in cases of retaliation against employee whistleblowers, a rise in the number of companies with weak ethical cultures, and more employees who report pressure to compromise standards. More...
January 5, 2012
News
Amid holiday cheers and winter chills, legal experts say 2012 will be yet another busy year in regulation. Inside, we take a look at what's next for the SEC's Office of the Whistleblower, rulemaking under the Dodd-Frank Act, insider trading enforcement, and more.
January 3, 2012
News
The SEC wrapped up 2011 with a series of enforcement actions against investment advisers, complete with allegations of deficient compliance programs, since investment advisers are legally obligated to maintain reasonable compliance procedures. "Not all compliance failures result in fraud, but many frauds take root in compliance deficiencies," says SEC Enforcement...
January 3, 2012
News
Despite criticism that it has fallen far behind schedule, the SEC says it will complete the majority of the remaining rules required by the Dodd-Frank Act next year in addition to several other projects. "With the budget that they have, the SEC has to look at its priorities," says Christopher...
December 6, 2011
News
The SEC has published its first analysis of whistleblower complaints it has received, and compliance officers have plenty to digest. "Companies should be concerned. If you look in broad view, [the program] is still in its infancy, no award has been given out yet, and they are showing this...
November 29, 2011
News
SciClone Pharmaceuticals, a middle-weight drug development business with only 260 employees, struck a memorable blow for corporate compliance this month: The company agreed to profound changes in its anti-corruption program solely to settle a shareholder lawsuit. "I'm not aware of any other case, certainly in the FCPA area, where this...
November 29, 2011
News
Psst—looking for a roadmap to how OSHA investigates whistleblower complaints? The Occupational Safety and Health Administration has updated its Whistleblower Investigations Manual with new guidance paving the way for employees to file whistleblower claims. OSHA investigators also have new procedures to follow when investigating claims, and companies...
November 22, 2011