July 23, 2014
John Bell Hood and the Measurement of Conduct Risk

  • Thomas Fox

  • History might be told a bit differently if risk conduct analyses were common practice. These days, there's as much need as ever to address conduct risk, setting policies, incentive structures and enforcement practices in our organizations that reward good conduct and penalize acting contrary to the companies' values and regulatory standards....

    July 21, 2014

  • Michael Volkov

  • A CCO's primary focus must be on culture - that is, building a culture of ethics and compliance throughout the organization. Lay this foundation and you'll ...

    July 17, 2014
    Why Active Risk Management Is Essential For Boards of Directors

  • Amy Flynn

  • Boards of Directors have traditionally been held liable for overseeing risk management and mitigation, but given the speed at which crisis and scandal travels these days, it makes sense for Boards to play an even more active role, from determining risk tolerance to keeping an eye on known risks and implementing risk mitigation plans....

    July 22, 2014
    LRN 306 – Planning Ahead: Building Strong Ethics & Compliance Programs for the Future

  • Michael Bramnick

  • Developing short- and long-term E&C programs requires a solid understanding of where the company stands in its broader ecosystem, as well as how the existing standards reflect the values of the organization. What also should be considered is company culture - are you fostering an environment in which staff want to comply?...

    July 18, 2014
    No Sex Please, We’re British: More from GSK in China

  • Thomas Fox

  • The GSK China scandal came to light through a sex tape, and the anonymous whistleblower who leaked the tape also presented allegations of bribery. GSK's own investigation into the matter has failed to net anything of substance, but the Chinese government has turned up a great deal of evidence pointing to massive systemic bribery....

    July 16, 2014
    New Brazilian Anti-Corruption Law: Compliance as a Competitive Advantage

  • Fernando Palma

  • An effective ethics and compliance program is integral to good business. With the passing of the Clean Companies Act, companies doing business in Brazil have new regulations to comply with, and maintaining operations in line with these standards is an essential step in maintaining a competitive edge....

    rolling dice
    July 15, 2014
    Whose Risk Is It, Anyway? When Management Says ‘No’ to Internal Audit

  • Richard Chambers

  • It sometimes happens that, even though you've identified a considerable risk and made a compelling case for addressing it, the management doesn't see the light, or agree with your findings. Frustrating for an audit professional, given that your effectiveness is measured by outcomes and, in cases such as these, your hands are tied. Then what?...

    myths and facts
    July 11, 2014
    10 FCPA Myths and Misconceptions, Debunked

  • Matteson Ellis

  • How well do you know FCPA regulations? You could be laboring under some misconceptions - and you wouldn't be alone. FCPA expert Matteson Ellis has heard myths from the mouths of those new to compliance, but also from execs and seasoned professionals who should know better. Here are some of the biggest FCPA myths circulating out there....

    July 9, 2014
    Winning the War Against Conflict Minerals

  • Mohan Ponnudurai

  • Recent legislation has had a significant impact on the trade of conflict minerals, including "blood diamonds," out of areas ravaged by war and run by warlords. The deadline for reporting supply chain partners, per Dodd-Frank, has come and gone, and companies have found it difficult to say with certainty whether their materials are truly conflict-free. A QMS can be hugely helpful here. ...

    July 7, 2014
    In Due Diligence and World Cup Bids: Follow the Money

  • Thomas Fox

  • In the past month, we've heard plenty of allegations of corruption associated with the Brazil World Cup, but there's as much or more controversy surrounding the forthcoming events in Qatar. Tom Fox suggests that when there's a question of corruption, just follow the money. And in this case, it's flying in all sorts of questionable directions....

    small business
    July 3, 2014
    Risk Assessment for Small and Mid-sized Companies

  • Jeff Kaplan

  • Smaller companies often don't need the exhaustive risk assessment programs the huge corporations require. For many organizations, in fact, something much simpler fits the bill. Jeff Kaplan of Kaplan & Walker outlines an eight-step process ideal for small to mid-size companies. Simple, but not too simple....


    July 14, 2014
    Education and Communications: High Expectations for User Engagement

  • Marsha Ershaghi Hames

  • Even thorough, established ethics and compliance training programs can fall quite short in the desired outcomes department if the instruction is mind-numbingly boring. If you hope to advance the C&E cause in your organization, you'll need a robust training program that engages employees where they are....

    tug of war
    July 10, 2014

  • Chuck Nathan

  • In an effort to win over a majority of Allergan shareholders, both the parties angling for a takeover and the the company its...

    July 8, 2014
    Impossible to Ignore: The Importance of IT Governance

  • John Tiglias

  • CIOs must take the lead on IT governance as a means to align the IT division's efforts with the overarching business strategy. But effective IT governance is more than measurement, oversight and the implementation of best practices. The most effective programs facilitate awareness and behavioral change throughout the organization....




    White Papers
    empty chair
    July 2, 2014
    Finding the Right Person to Serve as CRO

  • Jim DeLoach

  • A host of factors need to be taken into consideration in the selection of a new Chief Risk Officer. Where his or her experience and expertise lies is certainly top of mind, but more qualitative aspects of the candidates' skill set and capabilities carry weight, as well. How are the prospective hire's critical thinking skills, for instance? Is he personable? Persuasive? Can he build consensus?...

    Upcoming Events


    No AMP Rule, No Problem: How to Keep Your Company Compliant (and Keep Your Cool) in a Sub-Regulatory Environment



    FDA Device Software Regulation



    Best Practices in Supplier Management



    21 CFR Part 820 - Quality System Regulation - Applying Principles of Lean Documents and Lean Configuration



    Implementing ISO 22301 for Successful BCM



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    July 1, 2014
    The Board Must Take the Lead in Establishing a Corporate Culture of Ethics and Compliance

  • Eric J. Rudolph

  • The Board of Directors has immense power when it comes to facilitating the success of the company's ethics and compliance program. From setting tone at the top and holding management accountable for their staff's - and their own - adherence to the program, the importance of the Board cannot be overestimated....