All Compliance & Ethics articles
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PremiumEthics education is key, says Tom Hardin AKA “Tipper X”
Tom Hardin AKA “Tipper X” went from a young trader with his whole career ahead of him to an inside trader who got caught, acted as a Federal Bureau of Investigation informant for two years, and pleaded guilty to a felony.
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PremiumSurvey: Organizations broadly adopting AI, with varied governance
The majority of businesses are using AI and doing so without governance–a compliance gap that poses extreme risks, a new survey by Compliance Week and GAN Integrity found. A webinar will discuss why it is crucial to have AI governance, how to implement it, and what strategies to strengthen programs. ...
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Article
Managing global compliance expectations at the Golden Arches
Haydee Ortiz Olinger reflects on her 31 years as McDonald’s global compliance chief and what lessons she learned from her crucial role at the fast food giant.
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Blog
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
Blind moviegoers file suit for being left in the dark
It’s the kind of legal case that causes groans across social media these days: a group of blind moviegoers sue AMC theatres for discrimination because it failed to accommodate the moviegoers’ special needs. On the surface, the lawsuit might seem ridiculous, but when you take a closer look, there is ...
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Article
It’s Time to Stop Thinking of Whistleblowers as “Nut Jobs”
A recent comment about whistleblowers largely being crank cases has raised the ugly notion that those who report wrongdoing are more often venting a personal grudge or prosecuting a baseless case, than actually raising a legitimate issue. But in this age of heightened governance concern, can such a cavalier attitude ...
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Blog
Report: Attributes of Effective E&C Programs
Companies with top-performing ethics and compliance programs conduct formal assessments of their programs at least annually compared to their lower-scoring peers. They also are more likely to use metrics—such as audits, employee survey results, Code of Conduct violations, hotline call metrics, and more—in setting business objectives, and they typically have ...
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Blog
Help! Advisory Board Wanted for CW 2016 Conference
Image: It is that time of year again, Compliance Week enthusiasts: fresh off our hugely successful 2015 annual conference, we now are starting to plan our 2016 event happening next year. As always, we need your help. We are looking to recruit a small group of compliance professionals to serve ...
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Article
The Next Plateau for CCOs: Becoming Leaders
Image: More and more evidence suggests compliance officers are now sitting alongside other senior corporate leaders at their organizations—so now they need to exercise that leadership role properly. That was the discussion at Compliance Week 2015, and we have all the insights inside. “More compliance officers are being asked for ...
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Blog
CW2015: Cutting Through Compliance Complexity
Kicking off Compliance Week 2015 in Washington D.C. on Monday, compliance experts from Boeing, Walmart, and General Electric stressed the importance of having employees take part in culture-building and breaking training into simple, direct objectives. See more from their discussion inside.
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Blog
Walmart Touts Compliance Improvements in New Report
In its second annual “Global Compliance Program Report,” Walmart has detailed the compliance enhancements it has made in recent months. Among them: improved compliance training, greater supply chain scrutiny, $40 million invested in new technology, and centralized oversight of license and permit applications. More inside.
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Blog
Hotline Benchmark Report Shows Improvements
A new report from NAVEX Global says the “substantiation rates” for employee hotline calls—that is, the number of complaints found to be worth investigating—more than doubled from 12 percent in 2013 to 27 percent in 2014. “This significant increase may be a sign that ethics and compliance program leaders are ...
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Blog
Podcast: The Right Approach to Compliance Oversight
Establishing the right oversight structure is “one of the biggest issues currently facing the compliance profession,” says Kathleen Edmond, a partner at the law firm Robins Kaplan and former chief ethics officer at Best Buy. In our latest podcast we talk to Edmond about the debate over the best approach ...
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Blog
JP Morgan Outlines Compliance Overhaul
JP Morgan, the Wall Street bank that has racked up more than $23 billion in regulatory fines since the financial crisis, has released a 100-page report detailing its efforts to improve compliance, culture, and internal controls. The report, “How We Do Business,” was in response to pressure from shareholder activists ...
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Blog
LRN Names President of Ethics and Compliance Solutions
LRN, a firm that helps organizations meet their compliance obligations, shape ethical behavior, and strengthen culture and leadership, announced today the hiring of Jean-Marc Levy, most recently head of global issuer services at the New York Stock Exchange, as president of ethics and compliance solutions. He also will serve on ...
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Article
Antitrust Division to Increase Use of Probation in Enforcement
Image: Title: SnyderThe Antitrust Division of the Department of Justice has signaled a shift in its enforcement approach concerning companies that violate antitrust laws and don’t have effective compliance programs. During two recent speeches, Antitrust officials said they would seek court-supervised probation in such cases. “Conversely, companies that can demonstrate ...
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Blog
Compliance Yesterday, Today, and Tomorrow
Image: Planning for the Compliance Week 2015 conference is well underway. We’re particularly excited for next year’s event because it will be our 10th anniversary, and hitting that 10-year milestone has put us in a reflective mood here. So as Compliance Week puts together the agenda, we’ve been asking ourselves: ...
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ArticleShop Talk: Laying the Foundation of Good Compliance and Governance.
True, one size does not fit all, but there are still some common aspects that most high-functioning compliance and governance programs share, such as fostering a strong ethical culture, communicating effectively, and retaining a level of independence. During our latest executive roundtable, hosted with The Boeing Co. in Dallas, compliance ...
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ArticleShop Talk: Laying the Foundation of Good Compliance and Governance
True, one size does not fit all, but there are still some common aspects that most high-functioning compliance and governance programs share, such as fostering a strong ethical culture, communicating effectively, and retaining a level of independence. During our latest executive roundtable, hosted with The Boeing Co. in Dallas, compliance ...
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Blog
Podcast: The Trends Revealed by Company Codes of Conduct
Earlier this month, the University of Houston released a searchable database of the compliance codes for Fortune 500 companies. In our latest podcast we talk to Ryan McConnell, who teaches international corporate compliance at the school, about what the database tells us about how companies approach such topics as social ...