All CCO articles – Page 4
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Blog
CCO authority and independence
The more the Justice Department talks about CCO independence, coupled with resources being made available and authority concomitant with the CCO position, the more corporations will see it is in their best interest to provide the resources, authority, and gravitas to compliance positions within their organizations.
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Blog
Structure of the CCO position
The Man From FCPA explores the three prisms by which the structure of the Chief Compliance Officer position can be evaluated: access, resources, and opportunities.
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Article
Get your bad-boy groove back
Acceptance at the upper levels of a company is great for integrating compliance with business development and strategy. But don’t lock up the “Department of No” just yet.
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Should compliance training be humanities- or business-based?
The Man From FCPA explores the question of whether a compliance professional benefits more from a humanities-based education or a business school-based education.
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Blog
A Futurist on compliance
At Compliance Week 2017, Futurist Dr. Brian David Johnson started the show with his talk about artificial intelligence, the future of the compliance profession, and the position of the chief compliance officer.
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The optics couldn’t be worse—VW departs its CCO
Barely a year after Christine Hohmann-Dennhardt took the position of head of compliance at Volkswagen, she is leaving the company. The Man From FCPA Tom Fox reports.
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Technology, compliance, and the breakdown of corporate silos
The Man From FCPA Tom Fox explores the recent Foreign Corrupt Practices Act enforcement action involving General Cable Corp. and its implications for a technology-driven compliance world.
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The science of compliance
Carrie Penman of NAVEX Global uses her background as a scientist to forge an unconventional, and highly successful career in ethics & compliance, writes Bill Coffin.
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Reflections on the compliance profession from the SCCE Compliance and Ethics Institute
The Man From FCPA Tom Fox reflects on the changing role of the compliance practitioner and other lessons learned at the recent 15th annual SCCE Compliance and Ethics Institute in Chicago.
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Empathy might be the secret ingredient your compliance program needs
Being a great compliance officer requires more than strong analytical skills and acumen. It requires soft skills like emotional intelligence, too, since compliance is ultimately all about people.
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Blog
Join me at Compliance Week 2017
Plan to attend Compliance Week 2017 to learn about the continued growth and operalization of compliance. Why should you consider attending an event one year out? It is because of the strength and character of Compliance Week 2016 that you should block this time off and plan to attend next ...
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Blog
CCOs facing greater personal scrutiny from regulators
The Man from FCPA, Tom Fox, examines the recent FINRA disciplinary action against Raymond James CCO Linda Busby, in light of what appears to be broadening personal liability for chief compliance officers when it comes to FCPA enforcement.
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Blog
Geoswift Names Michael Kireopoulos Global Head of Compliance
Geoswift, a provider of cross-border payments between China and other nations, has named Michael Kireopoulos as Global Head of Compliance. Based in San Francisco, he will be responsible for managing all facets of global compliance, with a specific focus on meeting anti-money laundering and money transmission regulatory standards.
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Article
How Bad Is SEC Politicking? Pretty Bad
Image: That the SEC endures its share of politics is not exactly news—but the amount of politics, and the sheer partisan in-fighting at the agency? That’s rising. Split votes are more common, published dissents from commissioners more frequent. “Sometimes when I see what’s going on now, I’m sorry I ever ...
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Article
Compliance? There Should Be an App for That!
Compliance officers talk a lot about the need to embrace new technology. This week in a guest column from Raphael Richmond, global director of compliance at Ford, we hear how her team developed a compliance app for employees, business partners, the public, and even a certain Big Auto compliance chief ...
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Article
In London, Compliance Officers in the Crosshairs
Recent cases in the United Kingdom suggest that prosecutors and regulators are increasingly willing to hold compliance officers personally liable as they wage war against corporate fraud. Inside, we look at the corruption charges brought by Britain’s Serious Fraud Office against Alstom SA and the Financial Conduct Authority’s case against ...
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Article
Q&A: Talking Insurance Industry Compliance
Image: As part of our occasional series of conversations with compliance executives, we caught up with Lee Augsburger, chief ethics and compliance officer at Prudential Financial and vice chairman of the newly established Global Insurance Chief Compliance Officers Forum. Inside, Augsburger talks about the objectives of the group and how ...
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Blog
CFTC Gives CCOs Extra 30 Days to File Annual Reports
The Commodity Futures Trading Commission will give compliance officers an additional 30 days to file the annual reports required of swap dealers and major swap participants. The reports—which include an assessment of compliance resources and challenges—were initially due within 60 days of the fiscal year’s end. More inside.
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Article
Putting All of That Talent to Work Smartly
Amid a tough climate of regulatory enforcement and an explosion of new rules after the financial crisis, many large companies—especially financial institutions—have beefed up their staffing on risk and compliance. But is more always better? While the investment sends a message, more boots on the ground may just step on ...
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Blog
SEC Adopts Swaps Rules; Piwowar Slams CCO Changes
The SEC has adopted new rules that will require security-based swap data repositories to register with the Commission and adhere to new recordkeeping and data transparency requirements. Commissioner Michael Piwowar was a dissenting vote over what he says were last-minute changes intended to crack down on individuals who lie to ...