All Compliance articles – Page 3
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GUIDE Act targets CFPB’s rulemaking transparency
The recently filed Give Useful Information to Define Effective Compliance Act (or, for short, GUIDE Act), seeks to “bring predictability and transparency” to CFPB’s process of promulgating rules and guidance.
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Moving from operationalized compliance to connected compliance
The Man From FCPA explores how and why companies should move to a system of “connected compliance,” allowing them to take on more risks and more efficiently run the business.
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The fight against worldwide corruption
When banks and regulators work together to halt the transfer, hiding, and parking of corrupt funds, the war on corruption takes one more giant step forward.
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Three ways blockchain can be used to establish best practice
One of the most significant innovations in compliance will come through the incorporation of blockchain.
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One way to bring employees together on social media
How one chief compliance officer uses a social media tool called Chatter to bring employees together in an environment similar to a virual tweetup.
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Three key compliance messages to communicate to employees
Effective communication with employees is as important to a successful compliance program as the policies themselves.
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Three steps to fitting compliance into long-term business strategy
Incorporating the compliance function into a long-term business strategy starts with answering three important questions.
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The continuous improvement cycle in compliance
There are two basic tools in the continuous improvement cycle for any best practices compliance program, auditing and monitoring. The Man From FCPA illustrates how to effectively accomplish both within your program.
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Incorporating compliance into long-term strategy
How can a board work to incorporate the compliance function into a long-term business strategy of the organization? The Man From FCPA offers some suggestions.
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Board’s prudent discharge of compliance obligations
A look at how board members might want to enhance their prudent discharge to shareholders in regard to the FCPA, as the SEC and Justice Department could be giving it their full attention.
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OIG guidance for boards on compliance
It turns out that 2015 guidance from the OIG provides an excellent roadmap in today’s world for how companies can structure a compliance committee for their board and for the board’s obligations.
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Does your board have a compliance expert?
The Federal Reserve Bank this month assessed a penalty against Wells Fargo for the bank’s widespread customer abuse from its fraudulent accounts scandal, other regulatory violations, and lack of response by the bank’s doard of directors to these problems and other risk management issues.
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The end of Japan Inc.?
What happens when a series of scandals so engulfs a country that its entire national brand is put in jeopardy? Japan may have the answer.
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VW: The comeback begins
VW is currently demonstrating it can use a corporate scandal to wipe the corporate slate clean by refocusing on the emerging technologies for a greater business share.
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XL Group names head of compliance and regulatory affairs, Bermuda
XL Group has appointed Leila Madeiros as head of compliance and regulatory affairs, Bermuda. She will join the global insurance and reinsurance company in April 2018.
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Compliance and the immigration debate
The raids by ICE last week on 7-Eleven stores nationwide portend a good reason to document, document, document, and The Man From FCPA suggests you go back and double check your documentation at both your corporate headquarters and at each location, so if the government comes raiding, you will be ...
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Oh thank heaven?
Tom Fox explores the recent raids by agents from the U.S. Immigration and Customs Enforcement (ICE) of 7-Eleven stores across the country, looking for undocumented workers from an FCPA perspective.
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The Fair Process Doctrine in compliance
Human resources has a key role to play in operationalizing the compliance program, specifically by ensuring that discipline is handed out fairly across the company and to those employees who integrate ethical and compliant behavior into their individual work practices, writes The Man From FCPA.
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The role of risk management in compliance
As compliance evolves and corporate compliance programs become more sophisticated, compliance is seen not as simply a legal prophylactic, but as a business process, writes The Man From FCPA.
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How character relates to compliance
Merely having in place a paper compliance program does not account for the human condition, which unfortunately is not always pure of heart, writes The Man From FCPA, while considering a recent book, “The Character Gap,” by Christian Miller.