Ethics & Codes


Asia

Asia Pacific compliance: Five tips for practitioners based outside the region

2019-08-14T18:59:00+01:00By Mary Shirley

Communicating the variances of Asian regulatory policies could mean the difference between progress or failure. One of our former Top Minds offers companies five tips for avoiding a regulatory disaster within a multinational organization.

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Epstein lesson: Ignored compliance advice a red flag

2019-08-14T12:57:00+01:00By

The Jeffrey Epstein scandal serves up a cautionary lesson for those who work for companies that put profits over ethics.

Opioids

Chief compliance officer liability and the opioid epidemic

2019-08-02T17:32:00+01:00By

In a period of three months, two chief compliance officers have been charged for their individual roles in the opioid epidemic—a clear indication the Department of Justice continues to expand the scope of prosecutions to those who fail in their compliance responsibilities.

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Why CEOs today must be change leaders for social issues

2019-06-28T18:00:00+01:00By

The Wayfair walkout represents just the latest high-profile example of how social and policy issues continue to spill into the corporate ethics and compliance realm.

Questions raised

KPMG fallout: Cheating allegations raise new questions

2019-06-19T19:33:00+01:00By

After new allegations at KPMG of cheating on internal training tests, audit committees now have another area of questioning for their external auditors.

David Lefort

Three reasons why you should save the date for CW2020

2019-06-19T18:16:00+01:00By

One of the most common pieces of feedback we heard from first-time attendees of the recently completed 14th national Compliance Week conference in Washington D.C. was that they wished they had discovered our three-day GRC-palooza sooner. Editor in Chief Dave Lefort explains why.

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Benchmark report provides holistic look at compliance best practices

2019-06-18T15:49:00+01:00By

A benchmark report published by NAVEX Global provides comprehensive research into the multiple disciplines of an ethics and compliance program.

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Soft skills, strategy set to define CCO of future

2019-05-30T17:30:00+01:00By

Determining the future of compliance and its practitioners is a tall task, one that a panel of experts at CW’s 2019 annual conference analyzed with their respective insights.

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10 Tips to Managing Social Media Compliance

2019-05-27T11:20:00+01:00Provided 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.

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Inside look at compliance challenges of Trump White House

2019-05-21T19:45:00+01:00By

Establishing compliance and ethics under the Trump administration provided valuable lessons on dealing with media and preparing for crises, said Compliance Week annual conference keynote Stefan Passantino.

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A new CCO’s Herculean task at Wells Fargo

2019-05-17T15:32:00+01:00By

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.

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CBS initiates new anti-harassment policies

2019-05-08T18:00:00+01:00By

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

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Wynn Resorts fined $35M for mishandling sexual misconduct complaint

2019-05-02T17:54:00+01:00By

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.

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Brian Beeghly on defining ethical leadership

2019-04-29T07:22:00+01:00By

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.

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Best practices for managing employee reports

2019-04-22T20:36:00+01:00By

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.

Culture

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

2019-04-03T21:02:00+01:00By

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

2019-03-25T21:56:00+00:00By

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

Morals

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

2019-03-25T21:39:00+00:00By

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.

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

2019-03-20T16:53:00+00:00By

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.

David Lefort

Insider threats often are hardest to detect

2019-03-15T19:26:00+00:00By

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.

FBI

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

2019-03-13T15:59:00+00:00By

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

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My Compliance Library: How to create a ‘Fearless Organization’

2019-03-13T14:55:00+00:00By

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.

GenderPay

U.K. gender pay gap reports rife with defects

2019-03-07T15:28:00+00:00By

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

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Ted Baker CEO resigns following ‘hugging’ allegations

2019-03-05T12:45:00+00:00By

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

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The reputation-shredding scourge of human trafficking

2019-02-27T15:30:00+00:00By

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.