All ethics articles – Page 3
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Blog
FINRA: establishing and implementing cultural values
The Financial Industry Regulatory Authority issued new guidance on what firms will be expected to discuss regarding their firm’s cultural values. FINRA plans to meet with business, compliance, legal, and risk executives to discuss how to communicate and reinforce values. “We are particularly interested in how your firm measures compliance ...
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Blog
Next Up to Reform Culture: Deutsche Bank
Image: Observers of the financial news might have seen that earlier this week Deutsche Bank reshuffled its senior managers. Observers of the compliance news might want to take note, too. The bank’s new co-CEO has a formidable task in front of him to reform Deutsche Bank’s problem-prone culture, but Compliance ...
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Blog
What’s Behind the Endemic Nature of Bribery: Poverty
Image: For all a company’s efforts to preach anti-corruption compliance worldwide, one ugly fact endures: Too many people in too many countries still need to pay bribes simply to survive. Ethics training has virtually nothing to do with the problem, editor Matt Kelly writes. The real challenge is how we ...
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Blog
More Disclosures Needed From Public Officials, Says OECD
Image: The pursuit of good governance is never easy. According to a recent Organization for Economic Cooperation and Development survey, inadequate disclosures, lack of whistleblower protection laws, and concerns about integrity have caused many citizens of advanced countries to lose trust in national governments. More inside.
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Article
Is CSR Part of the Compliance Operation?
Corporate social responsibility is now big business in Europe. How the compliance function intersects with CSR, however—and what role the compliance officer should play in CSR oversight—is still unclear. In the final part of our series on CSR, we look at how several European companies are trying to embed CSR ...
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Blog
Compliance Week 2015: Full Agenda Announced
Image: Good news for everyone looking to firm up springtime travel plans: we have just announced the agenda and speaker lineup for the best compliance and audit conference out there, Compliance Week 2015. From hardcore SOX compliance issues, to strategies for effective leadership of compliance teams, to all the operational ...
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Blog
More Misconduct Tales to Tell Your Company
Image: As we move into 2015 and the good economic times that seem to be carrying the United States along, it’s time for a refresher course in Why Ethics & Compliance Matter. We have two new examples of misconduct—one from Brazil, the other from New York—that can go straight into ...
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