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October 15, 2014
The Move to “New IT:” Driving Digital Innovation in Enterprise IT

  • Robert Dvorak



  • If you want to drive the IT organization forward, start with taking inventory. What activities and assets add value, and which are valueless? Clear out the superfluous and free IT to do more than subsist. A thriving IT organization doesn't simply maintain the status quo; it innovates. And forward movement equals greater market share and more competitive advantage....

    paper tiger
    October 14, 2014

  • Wendy Wysong


  • In terms of FCPA enforcement, the UK's Serious Fraud Office doesn't hold a candle to the U.S. Department of Justice. Not yet, anyway. Over the past few month...

    in the red
    October 13, 2014
    Compliance Challenges: When the Almighty Dollar Rules

  • Michael Volkov



  • Compliance is critical, of course, but at the end of the day, it's of little consequence if the company's operating in the red. And while profitability shouldn't be the sole factor in the CCO's decision-making process, it must figure in there somewhere. The trick is to strike a balance between profits and compliance and to know when compliance must take priority....

    lustration
    October 15, 2014
    Ukraine’s Lustration Law Attempts to Cleanse the Government of up to 1 Million Officials

  • Michael A. Tooshi



  • The past several months in Ukraine have been tumultuous to say the least. Recent developments in the region include the public’s demand for the purge of any government officials involved in corruption, together with the passing of various anti-corruption reforms. But will these measures be enough? And will they even be implemented fairly?...

    watergate
    October 13, 2014
    Is More Corporate Governance the Answer? (Part 2 of 5)

  • Glen Jenkins



  • Glen Jenkins continues his deep dive into corporate governance through the years with today's analysis of some landmark events during the 1970s, brought on by a bank bailout, a corporation's bankruptcy and the Watergate scandal, the impacts of which reached much farther than the White House. Moral failures in each helped to set the stage for today's governance practices....

    APEC HQ
    October 10, 2014
    TPP Partners at an Impasse as APEC Summit Approaches

  • Klint Alexander



  • The Trans-Pacific Partnership has yet to get off the ground, and the most recent talks in July failed to progress the partnership in any significant way. Japan stands to gain the greatest benefit from the TPP, so they're holding fast on their terms, while the U.S. remains focused on protecting the interests of SMEs stateside. Will the partners reach an agreement by November?...

    fingers crossed
    October 10, 2014
    EY Fraud Survey & Compliance Fatigue: Do As I Say, Not As I Do

  • Richard Bistrong



  • Ideally, executives will drive home the importance of a culture of ethics both with their words and their actions. However, it's often difficult to do business ethically while maintaining strong financial performance and a competitive edge. When the prospect of satisfying both goals seems impossible, something's got to give. Unfortunately, this is where the justification begins....



    security
    October 8, 2014
    National Security and FCPA Investigations

  • Thomas Larned



  • The FCPA is one of many tools the DOJ and the SEC put to use in facilitating national security in the U.S. And while they are some of the largest players in protecting the nation's interests, compliance professionals working for global corporations also play a critical role in identifying vulnerabilities and doing serious due diligence to minimize risks....

    bad news
    October 7, 2014
    Consequences of Falling Behind Cyber Risk Management Standards: Federal Warning Beacons

  • Jason Straight



  • As cyber risks grow, standards for cyber risk management are ever increasing. Companies can't afford not to take cybersecurity very seriously. Lapses can result in breaches, leading to massive fines and equally considerable reputational harm. Plus, they may be answering to the FTC, SEC, and CFTC. Get ahead of cybercrime and establish a strong risk management program....

    discipline
    October 6, 2014
    Discipline and Rigor in Your Internal Controls

  • Thomas Fox



  • Those seeking to abuse the system will find a way to do it, so it's imperative that companies implement strong internal controls and then continually strive to strengthen them further. Make no mistake, detecting and preventing FCPA violations takes discipline, but initiatives and activities undertaken with discipline generally pay off, don't they? ...

    disclosure
    October 3, 2014
    Communicating Voluntary Disclosure of Corporate Political Spending

  • Chuck Nathan



  • In recent years, restraints have been lifted somewhat with regard to corporate political spending, but, in response to increased pressure from the public, lobbying and political spending disclosure may very well be making a comeback. This being the case, organizations should have a good understanding of how disclosure should be properly and strategically handled....

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    blind
    October 9, 2014
    Curing Ethical Blindness

  • Jim Nortz



  • We all have blind spots, literally and figuratively. This in itself isn't a problem, but failure to acknowledge these blind spots and intentionally check them when making key moves most definitely is. It may be the reason otherwise brilliant business people and leading corporations find themselves on the wrong side of the law, answering for major ethical lapses....

    smoke
    October 8, 2014

  • Michael Volkov


  • With major FCPA investigations in the works, some of us are on pins and needles waiting for the enforcement actions to come down. But do...

    social media
    October 6, 2014
    Social Media: The Challenge of Managing Millions of Friends

  • Michael Connor



  • For companies, the risks associated with social media use are increasing every day. They certainly include data privacy - once an opinion or piece of information is shared online, it can spread instantly beyond the corporation's reach and control - but also extend to compliance with industry-specific and federal guidelines for communications....

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    speech bubble
    October 3, 2014
    More Empty Words for an FCPA Compliance Defense

  • Michael Volkov



  • Most compliance practitioners recognize that the FCPA compliance defense issue is very much a thing of the past, though some still advocate for it. The troubles with this approach are multiple. Michael Volkov outlines what's off about taking an FCPA compliance defense and why companies that take that route may come to regret it....

    Upcoming Events

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    Communicating with Influence & Professional Presence - Perth

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    The National Society of Compliance Professionals - 2014 National Conference

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    HCCA October Basic Compliance Academy

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    21

    One Practical View of HACCP Plans

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    How to Write and Implement Effective Policies & Procedures

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    soccer
    October 2, 2014

  • James Bone



  • There have been more than a few lessons to learn from this year's World Cup. For the risk management professional, consider this: if your risk scoring system is as complex as FIFA's process for determining world rankings, you might be in trouble. More complicated systems don't necessarily garner more accurate results. In fact, often the opposite is true....

    hands raised
    October 1, 2014

  • Jeff Kaplan



  • Solid compliance programs are built on solid risk assessments, so the importance of a thorough risk assessment can't be underestimated. Jeff Kaplan has provided us with a wealth of information over the years in this vein, and today he's covering some of the questions he hears the most from compliance and ethics practitioners. Check in for some expert guidance....

    china
    October 1, 2014

  • Thomas Fox



  • Take a closer look at GSK's failures in China and they seem so obvious. There are some key lessons for professionals in the compliance space to learn from their significant oversights--namely lacking controls, deficiencies in auditing and a breakdown in monitoring. We should be mindful of the warnings implicit in the GSK enforcement actions....

    big brother
    September 30, 2014
    Corporate Governance in the Era of the NSA

  • Glen Segal



  • Many of us knew before the Edward Snowden revelations that the government's reach is long, but when it was made clear just how much they truly have access to, it's fair to say that there were chills all around. Regardless of industry, organizations have a responsibility to protect consumer, patient or user data. If we don't know who's monitoring our data, though, we can't do our jobs....

    revolver
    September 29, 2014
    Russian Roulette with Security Breaches

  • Jason Hart



  • Many organizations aren't taking data security seriously, despite the fact that hackers continue to breach relatively secure systems at large corporations, subjecting those companies to reputational harm and loss of consumer trust. Some have recovered just fine, but smaller businesses don't bounce back as quickly. The fact is, a breach will happen to your company, too, sooner or later....

    policeman
    September 26, 2014
    Preparing Effective SARs: New SAR Form, One Year Later

  • Walid Raad



  • Last year, the Financial Crimes Enforcement Network (FinCEN) updated their Suspicious Activity Report (SAR) form to allow for far more detail to be provided. The SAR is an integral part of an investigation of alleged financial crimes, and with the expanded form, law enforcement is able to get a clearer picture of the incident or incidents in question. ...

    football 2
    September 26, 2014
    To the NFL – Show More Than Ethics, Show Some Humanity

  • Thomas Fox



  • The NFL has been all over the news lately, and it's not for any of its teams' upsets or losses. Not on the field, anyway. Two scandals involving domestic violence -- and the league's treatment of the perpetrators -- have led to public outrage, with many viewing the punishments, initially little more than a slap on the wrist, as indicative of the NFL's dismissive attitude toward violence....