July 29, 2015
“Controls” Is Not a Dirty Word – Insights Into Controls Challenges and Solutions

  • Ron Kral

  • We in the GRC community inherently see the value of internal controls, but often our peers in the rest of the organization don't share our vision. Strike up a dialogue about controls and you may face resistance or even opposition. Let's change the conversation, shall we? Everyone benefits when there's widespread buy-in on business controls. Perhaps a little more education is the key....

    news anchor
    July 27, 2015

  • Corie Haylett

  • Corporations and individuals who either insinuate themselves into news stories or report on them in such a way as to capitalize on the even...

    investment (2)
    July 23, 2015
    No Internal Audit Function? Investors Beware!

  • Richard Chambers

  • The trickiest part of investing is determining WHERE to invest. And while a company's financial performance is top of mind for potential investors, it by no means should be the only factor considered. Remember, corporations taken down by scandals crash and burn from what looked like sure financial footing. Those with an internal audit function are less risky investments by far....

    July 28, 2015
    Free eBook Download: The Art of the Internal Investigation

  • Michael Volkov

  • Conducting an internal investigation in today's risky enforcement environment requires numerous -- if not continuous -- judgment calls. Stakes are high, and answers are never black-and-white. In this free eBook, regular contributor Michael Volkov wields his expertise wisely in this compilation of tactics and expert advice. ...

    July 24, 2015
    What Companies Do Right (and Wrong) Fighting Bribery and Fraud in Emerging Markets

  • Matias Mora Simoes

  • It's challenging to maintain compliance in emerging markets, where facilitation payments are often considered business as usual. But let's call a spade a spade -- these are bribes, and companies committed to complying with international law must stand their ground on this front. Some companies are expert at mitigating these risks. What's their secret? Read on....

    global network
    July 22, 2015
    Leveraging a Global Compliance Network

  • Michael Volkov

  • Compliance officers must rely on partners outside the function to advance their goals -- collaborations with finance or general counsel spring to mind. Leaning on staff without in-depth knowledge of compliance can lead to some potentially serious problems, but the need for partnership remains. So how do you build a global network and maintain a strong compliance program?...

    yellow wooden meter
    July 21, 2015
    Benchmarking Bribery & Corruption: Compliance Progress & Frustration

  • Richard Bistrong

  • This year's Anti-Bribery and Corruption Benchmarking Report was recently released, and the study, authored jointly by Kroll and Compliance Week, left contributing author Richard Bistrong with quite a few burning questions. So how has the plight of the compliance practitioner changed over the past year? Kevin Braine, Kroll's Managing Director of EMEA Compliance, provides clarity....

    July 17, 2015
    4 Signs of a Weak Culture of Compliance and Ethics

  • Michael Volkov

  • The merits of maintaining a culture of ethics and compliance are obvious -- and many. And yet some companies devote little attention to ethics and compliance, focusing in stead on financial performance (though the two concepts certainly aren't mutually exclusive). Here are our signs of a weak culture of ethics and compliance. A primer on what not to do, you might call it....

    July 15, 2015
    Has the Panda Finally Come in From the Cold?

  • Wendy Wysong

  • China has long taken an isolated approach to battling corruption. But things appear to be changing. The PRC is becoming an active participant in international law enforcement, striking deals with various nations with regard to extradition, police cooperation and criminal and judicial assistance. So is China merely protecting its own interests, or is there something bigger at work here?...

    July 13, 2015
    Who is Really Responsible For Unethical Behavior?

  • Marcy J. Maslov

  • There were some serious systemic issues that allowed two inmates to escape from a New York prison recently. Their prison break unveiled lax internal controls and major ethical lapses on the part of supervisors and management. One key lesson learned from these events: favoritism never bodes well for the many. What are the weaknesses in your internal controls?...

    space shuttle
    July 13, 2015
    Risk Management – Lessons from the Last 30 Years

  • Jim DeLoach

  • Lots of change has taken place in risk management over the past three decades. The kinds of risks organizations are exposed to, the speed at which they must respond, the very way we approach enterprise risk management -- all look entirely different than they did in 1985. Jim DeLoach outlines where we've failed and what we can learn from those disastrous oversights. ...


    July 20, 2015
    The Third Man and the Authority of Chief Compliance Officers

  • Thomas Fox

  • Whatever your company's stance on to whom the Corporate Compliance Officer should report, what's not in question is that the CCO must be able to act from a place of authority. Strip the CCO of his power and influence, and your compliance program is bound to fail. Tom Fox walks us through five key indicators that a company is setting its CCO up for success....

    July 16, 2015

  • Jim Nortz

  • Unfortunately, it's not uncommon for professionals to be asked to compromise their convictions. When considering a hypothetical ethi...

    July 14, 2015
    Profitability Crisis: Flagging Consumer Confidence a Key Factor in Revenue Loss

  • Brian Greenberg

  • Without credibility, sales performance suffers greatly. Since profitability is sort of central to a company's success, establishing and keeping consumer trust ought to be top of mind for every organization. There are a number of ways to cultivate credibility; chief among them -- and this is a non-negotiable -- open engagement with prospective and existing customers....


    Code of Conduct Awareness

    Could you get your employees to want to be compliant?

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    White Papers
    July 10, 2015
    Commodore Perry and Integrating Compliance into the Fabric of Your Company

  • Thomas Fox

  • When the compliance function isn't fully integrated into a company's DNA, there's bound to be a clash of priorities. In these cases, it's often financial objectives that take precedence. As we all know by now -- and pardon the throwback to Compliance 101 -- that simply won't do. Paper compliance programs don't cut the mustard. DOING compliance is where it's at....

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    Anti-Manipulation Rules Concerning Securities Offerings

    July 10, 2015

  • Linda Henman

  • In striving to position your organization as an innovator, a market leader, you've identified several changes that need to be made. But does your company culture lend itself easily to change? Will your leaders allow transformation to take place? Are you willing to take on the risk of abandoning the status quo? To create a powerhouse organization, you've got to ask yourself the hard questions....

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    July 10, 2015

  • Michael Volkov

  • Some are foaming at the mouth about the outcome of the FCPA trial of former PetroTiger CEO Joseph Sigelman. However, while the Department of Justice isn't overjoyed with how the case turned out, the outcome isn't at all unusual. The key takeaway here: you win some, you lose some. Will the DOJ overhaul it's FCPA enforcement strategies because of this case? Not likely....

    July 9, 2015

  • Jim DeLoach

  • Author Jim DeLoach explores four themes for implementing enterprise risk management (ERM), noting that executives often ask two questions about ERM: “Where do we start?” and “What do we do differently?” These two questions demand a pragmatic response, which DeLoach provides in this compilation of thought leadership articles....

    compliance and the board
    July 8, 2015
    Compliance and the Board: 3 Expert Opinions

  • Maurice Gilbert

  • As regulatory oversight increases, so does the importance of managing compliance risk. Given its purpose and charge of protecting the company, the Board can't afford to sit idly and leave the task of managing compliance risk entirely to others. No, the Board ought to be taking an active role here. Today, three experts weigh in on where the Board of Directors fits in....

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    July 7, 2015
    Channeling John Steed in Your Tone in the Middle

  • Thomas Fox

  • A strong tone at the top is essential to maintaining a culture of compliance. Equally as important, however, is tone in the middle. If your middle managers don't understand or aren't on board with a commitment to operate with integrity and in compliance, the message they project to their teams won't likely be reflective of the organization's values. Are your managers on the same page as you?...

    July 6, 2015
    Corruption Scandals in…Chile?

  • Matteson Ellis

  • Chile has historically ranked among the least corrupt countries in Transparency International's Corruption Perceptions Index, but past performance isn't always a great indicator of future results. Recent scandals in the country serve as an excellent reminder that corruption can rear its ugly head anywhere, even in areas not typically associated with bribery and improper conduct....

    July 2, 2015
    The Microeconomic Perspective on Bribery Incentives

  • Michael Volkov

  • There's no doubt that there are benefits to bribery; if there weren't, corruption wouldn't be such an issue. It's just as plain that the costs of bribery can be great when individuals or companies are caught in the act. Michael Volkov posits that the most rational decision organizations can make when tempted with bribery -- despite the potential gains -- is to just say "no."...