All compliance program articles

  • SEC

    SEC 2022 exam priorities stress compliance ‘must be empowered’


    The Securities and Exchange Commission released its 2022 examination priorities, providing investment firms, broker-dealers, and other registrants a breakdown of what issues the Division of Examinations will focus on this year.

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    CPE Webcast: Practical tips for building resiliency in your compliance program

    2021-04-01T14:00:00Z Provided by

    Learn what compliance leaders at some of the world’s most complex organizations are doing to build resilient compliance programs. You’d be correct if you guessed they’re implementing new processes and adding new technologies. But the biggest surprise has been around the role people play in this process. 

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    CPE Webcast: Elevating your compliance program with technology

    2021-03-25T14:00:00Z Provided by

    Compliance leaders are always on the lookout for innovative ways to keep up with the dynamic risk and regulatory landscape. The efforts revolve around a common theme—integrating technological breakthroughs to achieve intelligent automation and ensure future-readiness of their compliance program.

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    CPE Webcast: Adapting your compliance program for the next new normal

    2021-02-04T11:00:00Z Provided by

    With the global workplace in a fractious state in 2020, many companies transitioned employees to working from home. This created new challenges for compliance leaders from providing clear data security guidance to reinforcing HR policies like harassment prevention for the remote work environment.

  • DOJ

    DOJ official: ‘Inability to pay’ playing more prominent role in criminal cases


    Revenue constraints faced by companies due to the coronavirus pandemic are factoring more prominently into settlement discussions with the Department of Justice, according to acting Criminal Division head Brian Rabbitt.

  • Brasseur_opinion

    NRA shot itself in foot with poor compliance commitment


    The New York Attorney General’s lawsuit to dissolve the National Rifle Association might not play out as intended, but it nevertheless exposes a number of systemic compliance flaws at the organization that appear to still need to be addressed.

  • Money

    Alexion nears $25M settlement with SEC in FCPA probe


    Alexion Pharmaceuticals said in a regulatory filing that it is nearing a $25 million settlement with the Securities and Exchange Commission concerning an investigation into the company’s compliance with the Foreign Corrupt Practices Act spanning various countries.

  • Blog

    How to use sticks in a compliance program


    The application of discipline is a key aspect to any best-in-class compliance program, and yet many companies have never disciplined any employee for ethical violations, writes The Man From FCPA.

  • Blog

    Using incentives in a compliance program


    As stated in the FCPA Guide, compliance programs need to have in place recognized incentives for doing business. The Man From the FCPA discusses what important parts an incentive program may include.

  • Blog

    LafargeHolcim CEO latest victim of non-compliance


    LafargeHolcim CEO Eric Olsen will resign on 15 July this year, in response to the company’s enquiry into the conduct of its Syrian subsidiary between 2010 and September 2014, in which the subsidiary did business with terrorists who had taken control of the territory surrounding the LafargeHolcim’s cement plant.

  • Article

    CW2016: Putting compliance into practice


    Yes, yes—companies everywhere know that having in place an effective compliance program is more important today than ever before, but how are compliance officers actually achieving that? Jaclyn Jaeger recaps this discussion from Compliance Week 2016.

  • Blog

    Podcast: Spain’s New Corporate Compliance Defense


    Image: Spain has been receiving a lot of attention for its corporate compliance defense. Not only did the country adopt new requirements to help root out corruption; it goes further than other nations have gone by mandating specific features that compliance programs must contain to qualify. In this podcast, Aaron ...