The Compliance & Ethics Blog

Ted Banks on Moving from a Legal Role into Compliance [Podcast]

By Adam Turteltaub adam.turteltaub@corporatecompliance.org Compliance starts with the law, but simply thinking like a lawyer isn’t enough.  Ted Banks, partner at Scharf Banks Marmor learned that lesson firsthand. Today he is an experienced compliance professional who has worked in compliance at Kraft and served as a monitor for both the FTC and the Canadian Competition […]

Letter to Pat Kelly

By Roy Snell roy.snell@corporatecompliance.org I wrote a letter to Pat Kelly, the FBI Integrity and Compliance Officer. He is retiring. Pat’s experience in Compliance has been no different than many other compliance professionals I have met over the last 20 years. Implementing compliance programs in the government setting is as difficult and dramatic as in […]

How to Fix Your Company Policies for GDPR

By Patrick O’Kane, Data Protection Officer Do you ever sit at a desk trying to read a company policy and find that the words are just not going in? Often company policies are written in the most turgid, dull and unintelligible language.  The consequence is that employees never read them, much less remember what they […]

Gerry Zack on What Led Him to The Society of Corporate Compliance and Ethics & Health Care Compliance Association [Video Podcast]

By Adam Turteltaub adam.turteltaub@corporatecompliance.org On October 16, 2017 Gerry Zack was named as the Incoming CEO of the SCCE/HCCA.  Take a look at these videos (or listen in to the audio-only versions) to get to know Gerry. Part 1 In Part 1 he discusses his background in audit, fraud, and compliance.  He also shares his […]

Ethikos Editor’s Weekly Picks: For a Culture of Integrity, Focus on Fairness

Examining ethics and compliance issues in business since 1987 For a culture of integrity, focus on fairness By Anne R. Harris for National Defense Organizational ethics and compliance is about encouraging people to conduct business with integrity. It is also about mitigating risks: the risk that the organization could lose money, that it could face legal […]

Janet Kennedy on US Embassy Economic Officers [Podcast]

By Adam Turteltaub adam.turteltaub@corporatecompliance.org Typically, when compliance professionals interact with members of the US Government it is in an enforcement context. Not all parts of the government, though, serve that role.  When putting together the SCCE regional compliance meeting in Sarajevo in October, we contacted the local embassy for help, which they were more than […]

New Hotline for Reporting Compliance Problems in Sports

By David D. Dodge david@sprtsoc.com Although the sports industry has been rocked and roiled by one scandal after another, the typical response of a team or a league or a sports organization has been to react to each disgrace as an isolated, one-time incident and hope what’s been made public is the end of the […]

The Basics: Part 1

By Jan Schramke Compliance Administrator, EMEA Region Sometimes the basics are all we need to us help predict outcomes in advance. Perhaps that is why the basics are always a relevant topic. I would love to hear your opinion and learn from you. Perhaps you made different observations or have valuable insights you would like […]

Lessons from the Front-Line: How to Unlock the Promise of Online Third-Party Compliance Management Systems

By Rick Chapman, Assistant General Counsel, Global Ethics & Compliance, Halliburton According to new research from The Risk Advisory Group, third party risk is at the top of the agenda for compliance professionals in 2018.  This is hardly surprising when you consider that businesses are increasingly reliant on networks of third parties to take their […]

Liz Bilodeau on Preventing Copyright Violations [Podcast]

By Adam Turteltaub adam.turteltaub@corporatecompliance.org Cats riding Roomba’s make YouTube great, and people love to share the links.  And sometimes employees want to put videos of these felines and other snippets in their presentations, or maybe an apt clip from a TV show, not to mention that great cartoon from The New Yorker. Problem is that […]

Jenny O’Brien on Who’s Really in Compliance [Podcast]

By Adam Turteltaub adam.turteltaub@corporatecompliance.org As I’ve written before for the blog, there’s a problem compliance people are facing:  many people are too willing to write that a so-called compliance officer has been arrested, fined or imprisoned.  Problem is, those compliance officers weren’t really regulatory and legal compliance professionals as we know them. There’s one more […]

Why You Need a Learning Budget (and How to Ask for One!)

By Kristy Grant-Hart KristyGH@SparkCompliance.com What’s the single best perk you can negotiate for next year?  A 2% raise?  Maybe.  A better 401(k) or pension contribution?  That’s always nice.  But if you really want to crank up your skills for next year, ask for a learning budget. What’s a learning budget? A learning budget is simply […]

What Recent Sexual Harassment Headlines Teach Us About Compliance

Margaret C. Scavotto, JD, CHC President Management Performance Associates Yes, there is a connection. I suspect most individuals read the latest #MeToo news stories with a strong, sometimes complex, and personal reaction. For those of us who chose a career in compliance, there are lessons for our professional lives as well. I regularly read Knowledge@Wharton, […]

Are You Ready for Your Next Regulatory Exam?

Patty P. Tehrani, Esq. Founder, Policy Patty Toolkit and author of the CCO Toolkit Series 1.0 It’s not unusual to come into the office and get either a call or letter from a regulator that they are launching an unexpected review of your firm on some issue or another. If you’re the General Counsel or […]

Everyday Honesty

By Roy Snell roy.snell@corporatecompliance.org I love “everyday honesty.” What I am talking about are people who tell you, respectfully and civilly, what they really think about everyday, run-of-the-mill issues. I love to listen to them. I am not talking about people who lie through their teeth every day or major dishonesty. I am talking about […]

Get Out of the Way

By Adam Turteltaub adam.turteltaub@corporatecompliance.org Recently I messed up a hotel reservation.  I had myself departing one day later than I should. Because it was a mistake on a reservation for a group rate, I had to call in the change.  I couldn’t do it online.  Their site even told me I couldn’t just do it […]

Using Current Events to Support Training and Education

By Frank Ruelas Facility Compliance Professional, St. Joseph’s Hospital and Medical Center/Dignity Health One common theme that comes up in compliance related discussions is the idea of how to make compliance related training more engaging.  This is a longstanding discussion point which often is responded to with anecdotal replies such as to relate the training […]

Ethikos Editor’s Weekly Picks: Can Business Schools Make Companies Ethical?

Examining ethics and compliance issues in business since 1987 ethikos e-newsletter will not be published the next two weeks. The next issue will be dated January 9, 2018. Can business schools make companies ethical? By Megan Kamerick for Fast Company Corporate misanthropes are nothing new, but Martin Shkreli is a special case. He became one of the most […]

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