All Compliance articles – Page 4
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Blog
Compliance and employment separation
Before beginning any layoffs, it is essential that the compliance practitioner work with the legal department and HR function to make certain employment separation documents are in compliance with SEC rules.
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Blog
The desktop risk assessment
If you perform an annual Desktop Risk Assessment with a full worldwide risk assessment every two years, you should be in a good position to keep abreast of compliance issues that may change and need more or greater risk management.
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Compliance in an economic downturn
In an economic downturn, there are two increasing compliance risks for companies that could make them in conflict with the 2012 FCPA enforcement guidance: (1) They eliminate compliance personnel in a cost-cutting attempt; (2) They neglect to invest monies needed to enhance monitoring or other mechanisms.
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Compliance & ethics in litigation finance
Crowdsourcing legal costs is one of the world’s more novel alternative asset classes, but the clock is ticking on when compliance officers will need to enforce some rules on it.
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The compliance oversight committee
Installing a compliance oversight review committee is a crucial step that should be employed by companies as added protection against any type of compliance and ethics violations that could slip through the cracks and become much bigger problems down the road.
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The regional compliance committee
The regional compliance officer adds a dimension not often seen or even discussed in the compliance profession, offering oversight of the compliance monitoring, reviewing, assessing, and recommending that is deemed necessary to the compliance function.
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Compliance on the board
The Man From FCPA reveals what expertise is needed on the board of directors when your company is evaluated under the factors set out in Prong Three of the FCPA Pilot Program and the Evaluation of Corporate Compliance Programs.
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Board of directors’ compliance committee
It is incumbent that boards seek out and obtain sufficient information to fulfill their legal obligations and keep their company off the front page of the New York Times, Wall Street Journal, or Financial Times, just to name a few, to prevent serious reputational damage. A board compliance committee is ...
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Does a compliance department need a behaviorist?
Tom Fox offers some detailed steps to help companies upgrade and improve their corporate compliance programs.
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Compliance lessons from the World Series
How does baseball correlate to compliance? The Man From FCPA explores where the two meet in terms of data analytics, strategic risk, and discipline.
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Creating a culture of data in compliance
How can a chief compliance officer work to improve the company’s use of data to ensure the effective use of such an important asset? Tom Fox explores below.
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Article
Managing compliance in a small FinTech company
Managing compliance at a small company where life moves fast and risk is the stimulant of choice isn’t for everyone, but here is how you can make it work for you.
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Blog
Baseball informs your compliance program
With the Houston Astros set to play in the 2017 World Series, the Man From FCPA is tuning in and—much to his surprise—learning that baseball has multiple lessons for the compliance professional.
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Mastercard releases anti-bribery training film
Chief ethics and compliance officers seeking real-life stories of corruption that they can embed into their existing online anti-bribery compliance training will want to check out a new anti-bribery training film from Front-Line Anti-Bribery and Mastercard.
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Blog
Cooper Standard names vice president of internal audit and compliance
Cooper Standard, a global supplier of systems and components for the automotive industry, has appointed Annemarie Kleabir to vice president, internal audit and compliance, effective Oct. 2.
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Blog
Remediation and the Equifax data breach
Equifax has a long road to travel to get past the recent data breach that saw 143 million people’s personal information exposed to theft.The company will need to engage in significant remedial action, notes The Man From FCPA, if they hope to survive the upcoming fallout.
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There will be blood
A viral video of a nurse who was arrested for upholding her hospital’s own policy on permitting blood draws from non-consenting patients highlights the true challenges of compliance.
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Blog
Will Uber change its toxic culture?
The Man From FCPA explores what the future has in store for Uber Technologies under new chief executive Dara Khosrowshahi.
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Article
Differing regulatory ethos poses challenges for cross-border financial institutions
In a group Q&A, we look at how multinational companies should view compliance amid attitudinal differences regarding compliance and enforcement.