The Compliance Week 2014 conference, happening May 19-21 in Washington, is shaping up to be another stellar summit meeting of all things risk, audit, and compliance. We’re especially pleased with our program so far this year, and I wanted to call out a few reasons why you should attend. First, we’re going old school with […]
Ethics & Culture
Posted inEthics & Culture
Alion Science and Technology Names General Counsel
Alion Science and Technology, a global engineering, technology and operational solutions company, has hired Kevin Boyle as general counsel. In this capacity, Boyle will support Alion’s worldwide growth strategy as well as corporate governance and ethics initiatives. Boyle joins Alion from MCR, an integrated program management company, where he most recently served as general counsel. […]
Posted inEthics & Culture
The Sour Tone of Chris Christie
Spare a thought this morning for New Jersey Gov. Chris Christie, who has just given us all a fresh reminder of how important tone at the top really is. Today Christie is front-page news at the New York Times, the Wall Street Journal, National Public Radio, the New Jersey Star-Ledger and probably a bundle of […]
Posted inAccounting & Auditing
FINRA Releases 2014 Regulatory and Exam Priorities
The Financial Industry Regulatory Authority this week issued a letter that details its regulation and examination priorities for the New Year. In the advisory, FINRA addresses topics related to business conduct, fraud, financial and operational concerns, and market regulation priorities. “We encourage firms to use this guidance along with their own analysis to enhance their […]
Posted inEthics & Culture
The Code of Conduct Conundrum
When’s the last time you heard the question, “Do we really need a corporate code of conduct?” asked in your company, if ever? And do you react with surprise or even a bit of annoyance as you read it here, thinking it’s stupid to even ask such a thing in 2014? Perhaps it is. Whether […]
Posted inEthics & Culture
Training Management to Advocate a Culture of Ethics and Compliance
Most compliance departments are well aware of the valuable role that middle management can play in shaping a culture of ethics and compliance. How to work with them to achieve that objective, however, is where the challenge lies. Traditionally, mid-level managers haven’t played an integral role in spotting compliance and ethics risks, says Kirsten Liston, […]
Posted inEthics & Culture
Leveraging Middle Management to Foster a Culture of Compliance
An effective compliance program requires a senior leadership team committed to fostering a culture of ethics and compliance which strikes the right tone at the top. But how successful that program actually is at the end of the day depends greatly on the mood in the middle. A company’s policies and procedures are only as […]