All Ethics & Culture articles – Page 57
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Article
Resolving Compliance and HR Turf Wars
Image: Compliance and HR have been tussling for years over which function owns company culture, when the truth is both have a crucial role to play. “If HR and compliance could come together and realize and accept that they’re on the same team … it could be a really powerful ...
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The Next Plateau for CCOs: Becoming Leaders
Image: More and more evidence suggests compliance officers are now sitting alongside other senior corporate leaders at their organizations—so now they need to exercise that leadership role properly. That was the discussion at Compliance Week 2015, and we have all the insights inside. “More compliance officers are being asked for ...
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Blog
Caldwell: What a Robust Compliance Program Looks Like
During a keynote speech at the Compliance Week 2015 conference, Assistant Attorney General Leslie Caldwell provided some insight on what a robust compliance function and strong internal investigations look like. “Overall, our message is really a simple one: we really expect that corporations will take compliance risks as seriously as ...
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Article
Is CSR Part of the Compliance Operation?
Corporate social responsibility is now big business in Europe. How the compliance function intersects with CSR, however—and what role the compliance officer should play in CSR oversight—is still unclear. In the final part of our series on CSR, we look at how several European companies are trying to embed CSR ...
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Blog
LRN Launches Catalyzing Conversations Toolkits
LRN, an ethics and compliance advisory services and education firm, today announced the launch of Catalyzing Conversations Toolkits, a turn-key solution designed to help mid-level managers start a dialogue with employees about the organization’s code of conduct and policies, as well as actively engage employees in E&C training. Details inside.
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Article
The Compliance Officer’s Role in Driving CSR Efforts
As corporate social responsibility becomes a business norm across Europe, two questions for compliance officers are what role they should play, and how they can leverage a vibrant CSR effort to enhance corporate culture and values. In part two of our look at CSR programs, this week we explore how ...
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Resource
e-Book: The Nuts and Bolts of T&E Policies
The risks lurking within the travel and entertainment account—bribery, accounting fraud, excessive spending, and much more—make proper oversight of T&E an urgent job for compliance and audit executives. Worse, even when you have a strong T&E policy, the ingenuity of employees trying to evade it knows few boundaries. And problems ...
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Article
EU Companies Face CSR Reporting Mandate in 2016
Image: This week Compliance Week starts a series on corporate sustainability, asking the most basic question of all: Will sustainability reporting ever be required? Yes, at least in the European Union. Inside we look at the state of CSR in Europe, and what role compliance officers are likely to play. ...
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Article
Still Working on Culture After All These Years
Five years ago, the Dodd-Frank Act imposed new rules governing everything from derivatives trades and mortgage lending to disclosures about executive compensation and conflict mineral usage. Have all those requirements really helped companies master a stronger ethical culture? Inside, we look at what steps some companies have taken to promote ...
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Article
Building a Compliance Ambassador Network
Sure, compliance officers do not have to fulfill their company’s ethics and compliance mission alone, but building a network of compliance ambassadors (or champions, or liaisons, or whatever you call your helpers) can be laborious. Inside, we asked compliance officers from Lockheed, GenCorp, DTE Energy, and elsewhere how they built ...
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Resource
e-Book: Cultivating a Culture of Compliance
A strong ethical culture is the foundation of a successful compliance program. It is also among the most difficult program elements to define, establish, and maintain over time.In this e-Book, produced by Compliance Week in cooperation with NAVEX Global, we explore practical steps organizations can take to create and sustain ...
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e-Book: Rooting Out Conflicts of Interest
A conflict-of-interest issue can occur at any time. As regulators turn the heat up on this issue, most companies now have conflict-of-interest policies that oblige the disclosure of conflicts when they arise. But how useful are these policies? And can they be enforced around the globe? This e-Book, produced by ...
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Resource
Understanding Business Ethics and Integrity
With the rise of transparency and readily available information, ethics and integrity programs are more important now than ever before. Consumers not only want high quality goods, but they want to have confidence the company they are doing business with is doing the right thing. Over the past decade, particularly ...
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Resource
e-Book: Whistleblowing: Another Record-Breaking Year In the Making?
Whistleblowing remains a hotly debated topic, mainly because these informants have the potential to cost a company significant financial and reputational loss. Now the SEC is looking to add more incentives for whistleblowers around the world to come forward and report corporate wrongdoing. Four years ago, when the agency’s Office ...
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Blog
Successor to ECOA Will Launch Certification Effort
More news from the groups formerly known as the Ethics & Compliance Officer Association and the Ethics Resource Center: The two have been subsumed into a new “Ethics & Compliance Initiative,” which has spawned a third wing, the Ethics & Compliance Certification Institute, to certify compliance professionals. More inside.
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Article
Mitigating FCPA Risks in Pharma, Med Device Sectors
Image: SEC Enforcement Director Andrew Ceresney recently dropped new hints on FCPA risks for pharma and medical devices, plus suggestions on how to avoid those risks. “Our FCPA focus obviously covers many industries,” he said. “But the pharma industry is one on which we have been particularly focused in recent ...
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Blog
Hotline Benchmark Report Shows Improvements
A new report from NAVEX Global says the “substantiation rates” for employee hotline calls—that is, the number of complaints found to be worth investigating—more than doubled from 12 percent in 2013 to 27 percent in 2014. “This significant increase may be a sign that ethics and compliance program leaders are ...
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Blog
U.K. Financial Regulator Boosting Individual Accountability, Audit Rules
Image: Title: BaileyThe U.K. Prudential Regulation Authority says individual senior managers of financial firms could face sanctions if a breach occurs in their area of responsibility and it’s proven the manager took no reasonable steps to avoid it. “Our new accountability regime will hold all senior managers, including non-executive directors, ...
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Article
Kaiser Permanente’s Approach to Case Management
Effective case management is crucial to a compliance program, but developing a process—flexible enough to juggle different types of issues, systematic enough to resolve cases in a timely manner—is the tricky part. This week in a guest column, Marita Janiga, director of the National Special Investigations Unit and the Compliance ...
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Blog
Dealing With Corruption in Public Procurement
The European Commission estimates that roughly €120 billion is lost annually to public procurement corruption. While the competition for government contracts continues to intensify, there are more opportunities for companies and potential clients to engage in unethical business practices, which can result in serious penalties and reputational damage. Here are ...