Compliance

In April, as decreed by the Church of England, we commemorate the life of William of Ockham, an English Franciscan friar and scholastic philosopher who has influenced modern organizational theory—but not enough. Peter Drucker’s medieval counterpart offered the observation that “entities must not be multiplied beyond necessity,” although ...

While your compliance focus group may not be quite the game changer that the Louisiana purchase was for the U.S., it will certainly provide you solid information on your compliance program that you can use to move it forward.

I am married to a lovely Sicilian-born woman. One thing her family has taught me: the value of family loyalty and love. That same principle does not apply when it comes to the relationship between the Apple monitor and Apple.

Recently enacted state legislation that aims to boost hiring may actually jeopardize California employers who are trying to safeguard their existing workers and business assets.

In August 2011, the U.S. Securities and Exchange Commission finalized its Dodd-Frank whistleblower incentive program to assist in discovering and investigating potential violations of securities regulations.

Anti-corruption compliance is not as hard as it looks. In fact, by taking a step back, compliance professionals can gain insights. At the direction of compliance professionals, companies like to develop and adopt compliance policies and procedures. Compliance policies and procedures give the Board, senior managers and the CCO a feeling of comfort.

In the April issue of Inc. magazine, Paul Graham, Jim Collins and other business leaders looked at some of questions that business thought leaders should be asking of themselves and of their teams, many of which are directly applicable to compliance and ethics.

One of the hardest issues for compliance professionals is encouraging employees to raise concerns about ethics and compliance issues. It becomes even more difficult when the government establishes whistleblower programs offering financial rewards for employees to tell the government about the problems.

“Something is rotten in the state of Denmark” is one of the signature lines from Shakespeare’s play Hamlet. I thought about that when I read recent articles, “Questions Are Asked of Rot in Banking Culture” and “Lawmakers Tell Justice Dept. to Seek Swiss Banker Extraditions.”

A company in the midst of arbitration proceedings that discovers potential bribery related to the contract at issue faces inherently irreconcilable conflicts ...

“Program effectiveness” is a term ethics and compliance (E&C) professionals frequently use as they strive to understand whether or not their companies’ investment and effort are paying off.

Compliance encompasses a broad range of ongoing activities across all departments or divisions within a company to meet legislative and regulatory requirements.