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Our Picks for the Top 10 Ethics and Compliance Articles You Don’t Want to Miss This Month

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Our Picks for the Top 10 Ethics and Compliance Articles You Don’t Want to Miss This Month

With so many articles available every month, it’s possible that a few got buried in either your inbox or the bowels of the blogosphere. Here are ten articles you don’t want to miss:

1. How to Keep Your Internal Investigation Under Control

Corporate Counsel

The U.S. DOJ and the SEC spoke the unspoken advice and officially advised corporations against extending internal bribery investigations for prolonged periods of time. Some companies pour copious amounts of time and money into investigations that actually have slowed the work of the DOJ, echoed Assistant Attorney General Leslie Caldwell. Certain organizations may feel as though they’ve suffered a case of whiplash; to prove cooperation and in-depth investigation, larger corporations may be brought to several points on the globe to investigate any wrongdoing that may have been just slightly unearthed. This redirect to compile plans for more efficient case investigations over tireless ones will lead to a culture of the government organizations looking into prosecutions of more and more individuals, instead. Read more…

2. 4 Steps Boards Should Take Toward Compliance 2.0

Corporate Counsel

Many organizations are already taking steps toward Compliance 2.0 by moving the CCO to the C-suite, providing the CCO oversight into compliance risks across the entire organization and both preserving and defending the CCO’s independence as a key manager of the company’s culture. Compliance experts Donna Boehme and Michael Volkov provide four steps boards should make sure their companies are taking as they move towards Compliance 2.0. Read more…

3. How Mobile Tech Is Complicating Nonexempt Employee Rules

Corporate Counsel

Have your employees checked their work email during non-work hours? This is a scenario that applies across so many industries that the Wall Street Journal stated that “company-issued smartphones have obliterated the line between the workday and off hours.” This suggests that wider-spread wage and hour training might be necessary, or updated to address this topic. A number of lawsuits have already been filed around companies that “expect nonexempt employees to work unpaid and off hours on digital devices, in violation of the Fair Labor Standards Act.” Read more…

4. New Compliance Surveys: The Answers Are Not Pretty

Richard Bistrong

Richard shares the results of several surveys conducted by The University of Notre Dame, Labaton Sucharow LLP and The Network. These surveys show that incentive packages are often developed independently of compliance programs. As Richard points out, “The ramifications of that result are disturbing to say the least, as demonstrating that compliance and compensation remain in organizational silos.” Read more…

5. Economic Downturn Week

Tom Fox

Our friend Tom Fox recently wrote a whitepaper for us on the topic of how compliance should prepare for and respond to economic downturns. He wrote further on the subject on his blog in a series entitled, “Economic Downturn Week.” Here’s an excerpt:

“This week I will present a series on steps that you can take in your compliance program if you find yourself, your company or your industry in an economic downturn. All of the recommendations I will make are ideas that have been put into action by companies currently facing these issues. They are ideas that you can use if you have scarce or lessened economic resources for your compliance function.”

Read more…

6. Measuring the Effectiveness of Compliance Training & Communications

OCEG and The Network

When you’re thinking about how to measure the effectiveness of your compliance training program, you may already have some of the more obvious metrics in place, such as completion rates for compliance training courses or policy certifications. But how do you measure communication and awareness? As Scott Mitchell, OCEG Chairman, points out, there’s a lot more to employee education than just training courses. In this video, OCEG Chairman Scott Mitchell and Jimmy Lin, Vice President of Product Management and Corporate Development at The Network, discuss additional items you may consider measuring when evaluating your ethics and compliance training program. Watch now (or read the transcript)…

7. Confronting the New ‘Game Changer’ SEC Whistleblower Paradigm

Inside Counsel

There’s no doubt that whistleblowers have noteworthy financial incentives to report to the SEC, and that companies have a legal minefield to face when dealing with whistleblowers. This article is Part 1 of a three-part series aimed at helping companies navigate the new whistleblower landscape. Read more…

(Looking for even more info on this topic? In our recent whitepaper, Embracing Whistleblowers: Understand the Real Risk and Cultivate a Culture of Reporting, we share insights into the profile and motivations of the average whistleblower.)

8. How to Speak Up About Ethical Issues at Work

Harvard Business Review

When an employee is deciding whether or not to report misconduct, he likely asks himself the three questions this Harvard Business Review article addresses: “How do I know whether it’s worth speaking up or not? Can I protect myself from potential consequences of calling out bad behavior? And when I do decide to say something, what do I say and to whom?” Amy Gallo dives into the research around why employees report… And more importantly, why they so often don’t. Read more…

9. Ask a CCO: Andy Hinton of Google Inc.

Corporate Counsel

Ever wonder how other CCOs handle the compliance challenges facing their companies? Yeah, us too. This is the first interview in a new series by Corporate Counsel that will address just that question. The first interviewee is Andy Hinton, CCO of Google. Read more…

10. Compliance Alone Won’t Make Your Company Safe

Harvard Business Review

The title is maybe overly simplistic, but the author makes a good point, “Many, if not all, business leaders would agree that knowing what happens within your company is a prerequisite for business success… [Yet] companies often do not know what’s going on in their own offices, which can severely damage their reputation.”

The author provides several case studies, as well as guidance as to what will make your company safe, if compliance alone can’t do it. Read more…

Share Your Thoughts with Us!

What other articles would you share with your colleagues in the ethics and compliance industry? You can join the conversation by commenting on the blog, messaging us on JDSupra or messaging me directly on LinkedIn.

(PS: Be sure to check out our May FCPA Compliance Digest and our May Whistleblower Digest for a round-up of May’s top FCPA and whistleblower news.)

For More Information About Ethics and Compliance, Check Out These Resources:

About the Author

Pia Adolphsen, Associate Manager of Marketing Content Strategy. Pia leads content strategy at The Network. Previously, she led client advocacy and marketing initiatives in the competitive intelligence industry. She is strongly in favor of lattes, 1.0mm pens, and her Georgia Bulldogs. Connect with Pia on LinkedIn

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