Ethics & Codes


A new CCO’s Herculean task at Wells Fargo


Compliance Week chats with Wells Fargo CCO Mike Roemer about the challenge of rebuilding trust at a company that’s been the poster child of compliance and risk management gone wrong.


CBS initiates new anti-harassment policies


CBS Studios has initiated new policies it says will ensure the network is “a safe, fair, and inclusive place to work.”


Wynn Resorts fined $35M for mishandling sexual misconduct complaint


The Massachusetts Gaming Commission on April 30 imposed a $35 million fine on Wynn Resorts and requires it to meet a series of license conditions, including the appointment of an independent monitor.


Brian Beeghly on defining ethical leadership


Brian Beeghly, former chief compliance officer at Johnson Controls, explains to columnist Tom Fox the steps taken in designing a leadership model in the wake of an FCPA investigation.


Best practices for managing employee reports


A recent report from NAVEX Global offers a look at how the performance of ethics and compliance officers’ hotline and incident management systems stack up against their peers.


Executing a culture of integrity initiative

2019-04-17T19:51:00+01:00By Mary Shirley

Building a culture of integrity is more than just putting on a compliance week fair; join this Conversation at the annual CW conference in May to learn how to implement a culture of integrity.

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Leave it to Trump to show us how not to hire a CCO


The Trump Organization reportedly has a new head of compliance, but was that hire, and whatever process was behind the pick, suitable for such an important position?

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Avenatti arrest fallout: don’t confuse whistleblowing with extortion


A high-profile arrest of Michael Avenatti for an extortion scheme against Nike raises difficult questions of corporate responsibility regarding whistleblower initiatives.


Why ‘moral leadership’ matters, and how to demonstrate it


Most employees believe moral leadership leads to better business results, but few believe senior leaders consistently demonstrate those qualities. That’s according to the findings of a new report, “The State of Moral Leadership in Business 2019,” conducted by ethics and compliance advisory firm LRN.


Anatomy of a college cheating scandal, and the resolve to fix it


In response to the nationwide college admissions scandal, victimized universities are speaking out and sharing the steps they’ve taken to stop similar behavior from happening in the future.

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Insider threats often are hardest to detect


In his latest editorial, Compliance Week Editor in Chief Dave Lefort applies what he learned at CW West to recent insider scandals and provides several compliance-related takeaways.


An inside look into the FBI’s Office of Integrity and Compliance


Catherine Bruno, assistant director of the FBI’s Office of Integrity and Compliance, discusses the division’s current initiatives and plans for the future.


Book review: How to create a ‘Fearless Organization’


Richard Bistrong explains how Amy C. Edmondson’s book on organizational health relies on the idea that employees are not governed by fear, but rather empowered by a safe environment that embraces honesty and candor.


U.K. gender pay gap reports rife with defects


A new report from U.K. organization says that compliance with gender pay regulations and guidance is still very weak.


Ted Baker CEO resigns following ‘hugging’ allegations


Ray Kelvin, the CEO and founder of fashion retailer Ted Baker, has resigned following allegations of sexual misconduct made against him last December.


The reputation-shredding scourge of human trafficking


Recent headlines, sparked by a billionaire’s alleged bad choices, should serve as a reminder of the brand damage companies could face from their involvement in human trafficking and the use, intentional or otherwise, of slave and child labor.

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10 Tips to Managing Social Media Compliance

2019-02-13T11:20:00+00:00Provided by

The financial services industry faces many regulations on how to engage on social media, including communication and retention rules from FINRA, SEC, FCA, IIROC, and others.


Mary Gentile on values-driven leadership


Mary Gentile, director and creator of Giving Voice to Values, joins columnist Tom Fox to discuss the benefits of a values-driven approach to leadership development.


Finding good in the government shutdown


With the longest government shutdown in U.S. history leaving many federal employees without a salary and a nationwide mess in its wake, many companies are stepping up and leading by example—demonstrating not just what they stand for, but what they stand up for.


The year ahead in compliance


Is 2019 the year of the compliance officer?, more regulator questions in the new year, SEC enforcement priorities for 2019, accounting changes in 2019, top ethics and compliance failures of 2018, and more.


How a bad economy might impact compliance


In the “Ask Amii” monthly mailbag, executive coach and former Chief Compliance Officer Amii Barnard-Bahn checks in on how compliance would fare if the economy goes south, lessons from Facebook’s tough year, and more.


Ask Amii mailbag


In response to our subscribers’ desire for practical advice on some of the softer skills required to effectively do their jobs, Compliance Week is publishing a monthly mailbag with executive coach and former CCO Amii Barnard-Bahn.

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Top ethics and compliance failures of 2018


The biggest ethics and compliance failures of 2018 feature some big names, such as Wells Fargo, Danske Bank, and Tesla, and highlight some key lessons for compliance officers.


Ted Baker launches probe into CEO ‘hugs’


Ray Kelvin, the founder of fashion retailer Ted Baker, stands accused of giving unwanted hugs to employees and has stepped down temporarily amid an investigation into allegations of sexual misconduct against him.