Corporate Compliance, Governance, and Risk Articles and News
The Updated COSO Framework: Time for a Fresh Look at Internal Control
Companies applying the 1992 version of the framework in conjunction with their Sarbanes-Oxley compliance process and for other purposes have some decisions to make...
Business Ethics: Walmart Accepted Clothing from Banned Bangladesh Factories
Walmart said it banned the Bangladeshi garment factory Mars Apparels from producing goods for the retail giant. But over the last year, Mars has repeatedly shipped tons of sports bras to Walmart, according to U.S. customs records and Mars owners.
The “Don’t Forgets” of FCPA Training
Issues often get missed in FCPA trainings. These can be some of the most impactful for encouraging an audience’s adherence to compliance. Here is a list of “don’t forgets” for your FCPA training program...
Is Your Compliance Management Making a Difference?
Without effective management of the compliance risks that really matter, the organization is reactive, at best, and noncompliant, at worst...
Trader charged in Manipulation of Libor Rate
A former trader at UBS and Citigroup was charged Tuesday as part of the investigation into the manipulation of the London interbank offered rate...
Takeaways from the 2013 SEC/FINRA Compliance Outreach Program for Broker-Dealers
When compliance officers interact with businesses, that interaction might blur the line of becoming more of a business supervisor than a compliance advisor...
Seven Components of an Effective Social Media Risk Compliance Program
Any business that uses social media should be aware of the potential risks and how to guard against them...
DOJ: Four Former Wellcare Executives Found Guilty in Florida
A federal jury in Tampa found four former executives of WellCare Health Plans Inc. guilty of health care fraud, making false statements relating to health care matters and making false statements to a law enforcement officer...
‘Offensive’ Use of The FCPA
Ordinarily, companies are in a defensive position when it comes to the FCPA. However, the act is increasingly being used “offensively” to achieve a business objective or to further advance a litigating position...
Episode 8: How Much Can We Expect of Our Compliance Officers
Do the additional roles of the Ethics and Compliance Officer help the Compliance Officer to function more efficiently and have a broader understanding of company challenges and opportunities?...
The Rutgers Basketball Scandal – Some Questions for the Compliance Practitioner to Ask
... I will use the Rutgers basketball scandal to raise questions about how your compliance program might handle a claim of violations of a federal law such as the FCPA or internal company policy, such as a Code of Conduct...
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