All Ethics & Culture articles – Page 23
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Ex-Cozen O’Connor attorney to pay $20K to settle insider trading charges
William Gericke, a former attorney with law firm Cozen O’Connor, has agreed to pay $20,004 and be permanently barred from appearing before the SEC to settle charges he traded on inside information on a corporate client.
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PremiumCompliance must carve out role in company ESG efforts
Respondents to our “Inside the Mind of the CCO” survey agree compliance should play a key part as businesses determine their ESG strategy—either through primary oversight or meaningful participation.
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PremiumDEI & compliance: Signs of advancement and complications
A global outcry for racial justice reached a crescendo in 2020, and corporate America pledged to “meet the moment” with transformative change. According to our “Inside the Mind of the CCO” survey, there are macro signs of companies trying to move the needle, but gaps in DEI progress remain.
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ArticleCWE panel: EU Whistleblowing Directive a test for company procedures
Multiple weak points identified with the upcoming EU Whistleblowing Directive could put the burden on companies to determine how to best implement the law, experts discussed during CW’s virtual Europe event.
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PremiumStop normalizing the gender pay gap
Our “Inside the Mind of the CCO” survey revealed women in compliance were paid far less than men. In a profession where practitioners are hailed as paragons of ethical integrity, why is this OK?
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PremiumCompliance: The happiest profession on Earth?
While the “Great Resignation” takes its toll on many industries, compliance officers responding to CW’s “Inside the Mind of the CCO” survey still near-unanimously say they are happy with their jobs. Amii Barnard-Bahn speaks with practitioners for their insights into the disparity.
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ArticleWhat it takes to work in sanctions compliance
Sanctions compliance veteran Visar Jaha explores for the ICA what it takes to be a successful in ensuring compliance with sanctions regimes within a firm.
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ArticleLawsuit: Ex-JPMorgan VP links firing to concerns raised about compliance program
A former compliance executive with JPMorgan Chase alleges she was fired after pointing out flaws in the bank’s compliance program and misrepresentations the bank made to regulators regarding a 2016 settlement of bribery allegations in the Asia Pacific region.
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ArticleWhen racist words, stereotypes are not in the eye of the beholder
A recent case involving discrimination allegations raised by a former compliance executive at Commerzbank serves as a reminder that sometimes people use words that hurt others’ feelings, but it doesn’t always mean the intention is there.
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ArticleCompliance Week National Conference is going back in person in May
Mark your calendars: Compliance Week’s National Conference in Washington, D.C. will be held in person for the first time in nearly three years from May 16-18, 2022.
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ArticleActivision Blizzard compliance update: Personnel changes, transparency goals
Activision Blizzard announced the promotion of Jen Brewer to the role of senior vice president, ethics and compliance amid a series of other measures the embattled company is taking to enhance its culture.
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ArticleWhen academic studies and hoax hotline claims go ‘off the rails’
Imagine this: An anonymous hotline tip comes through that a senior executive has engaged in insider trading. This scenario happened this summer as part of academic research, effectively leaving hundreds of unwitting corporate subjects to foot the bill for unnecessary follow-up conducted.
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PremiumAsk a CCO: How do you get leadership to support compliance?
Seven senior compliance practitioners impart how to get leadership to understand the value compliance offers the business and commit to supporting ethical initiatives.
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PremiumAsk a CCO: How to ensure right things done for right reasons
How do you encourage employees to do the right things for the right reasons? Seven senior compliance practitioners share what they and their respective companies do to best get results.
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ArticleLessons learned from actions of Facebook whistleblower Frances Haugen
Many whistleblowers are forced to take their complaints outside the company because their attempts to address the problems internally are rebuffed or ignored. Facebook is paying the price for that inaction.
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ArticleUpdated PhRMA Code addresses company-sponsored speaker programs
New voluntary standards issued by the Pharmaceutical Research and Manufacturers of America will soon take effect offering guidance related to company-sponsored speaker programs.
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Article‘Raise Your Game, Not Your Voice’ a guide for ethics-minded professionals
Lisa Beth Lentini Walker and Stef Tschida’s guidebook teaches compliance practitioners how to win others over in the maelstrom without adding to the noise.
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ArticleActivision Blizzard EEOC deal: All form, no substance
Activision Blizzard’s $18 million settlement with the Equal Employment Opportunity Commission mirrors in many ways the terms ride-sharing company Uber reached in a deal with the EEOC in 2019—except the agreement is void of any accountability.
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ArticleWells Fargo to pay $72.6M for foreign currency exchange fraud
Wells Fargo Bank agreed to pay a total of approximately $72.6 million to resolve allegations it fraudulently overcharged hundreds of commercial customers who used the bank’s foreign exchange services.
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ArticleAnti-corruption leaders share upsides of remote compliance program
COVID-19 has altered how companies operate their anti-corruption compliance programs, but not necessarily for the worse, according to experts from PepsiCo and Cook Group who shared their experiences at a recent Diligent virtual summit.