Compliance

Findings from NAVEX’s Annual Study NAVEX Global recently released the annual Hotline and Incident Management Report, a key tool compliance practitioners can use to benchmark and evaluate the performance of the company’s reporting hotline. Michael Volkov provides an overview of the findings, discussing trends and assumptions. Employee hotlines are – sorry about this – a "hot" topic these days in...

Minimizing Antitrust Risk in Pricing Most manufacturers continue to avoid price maintenance agreements with distributors and resellers and impose unilateral resale price policies. Vedder Price’s Brian McCalmon discusses how what’s visible to the consumer confronted with MAP and MRP is only the tip of an iceberg comprised of a carefully constructed, maintained and enforced customer relationship program that walks a...

Post-Email Channels Deserve Increased Scrutiny Text messages, social media and collaboration platforms are now squarely in regulators’ crosshairs, and organizations are increasingly being caught unaware. Smarsh’s Mike Pagani discusses why, as firms enable contemporary communications to enhance efficiency, it’s critical to capture and supervise all pertinent communications for proactive monitoring and supervision. The alternative leads to higher risks of reputational damage...

Why It’s Time for a Next-Gen Solution As organizations’ computing infrastructure expands, legacy asset management systems are becoming inadequate. To keep pace with this technological change – and remain compliant – companies must adopt a next-generation approach. Mark Gaydos of Nlyte discusses. Imagine being charged by your cable company for movies you never watched. How about being charged an extra...

As 2018 draws to a close, we’re taking a look back at some of the most valuable insights our authors have shared.  In case you missed it, this is one of the articles our readers couldn’t get enough of this year. The Potential Changes Coming There’s still a significant amount of uncertainty around blockchain, but the technology is already proving...

Published by Compliance Week and Available Now on Amazon Tom Fox, the Compliance Evangelist, is one of the leading writers, thinkers and commentators on the Nuts and Bolts of compliance. His always practical advice is now collated the most unique compliance handbook available, The Compliance Handbook. The handbook incorporates the most recent pronouncement and guidance from the Department of Justice,...

This is the first installment in a series on whistleblowing solutions from VinciWorks’ Sandra Erez. In Part 1, Sandra provides a brief history of whistleblowing and discusses the importance of a whistleblowing portal. It was a cold winter’s day in 1777 when 10 sailors and marines met below deck to discuss their commander’s barbaric torturing of British soldiers on their...

Key Steps in the Early Stage of a Federal Investigation Although many were unsure how white collar crime enforcement would fare in the Trump administration, the past two years has shown that enforcement actions have nearly stayed the course, with a strong focus on FCPA-related matters. In this article, Brooklyn Sawyers Belk, an attorney at law firm Weinberg Wheeler Hudgins...

Best Practices for Merging Security and Compliance Within many organizations today, security and compliance teams are running in isolation. This introduces significant enterprise risk, as the security team might be doing what’s best to combat advanced attackers, but their actions may not be in compliance with corporate, industry or federal guidelines. Similarly, the compliance team might be laser-focused on adhering...

To Prevent and Detect Compliance programs exist for the purpose of protecting against misdeeds, and the most effective programs are those that exist within a culture of ethics. Michael Volkov discusses the truism that a company’s culture and its compliance controls are mutually reinforcing. I do not think there is much disagreement on the basic purpose of an ethics and...

Ensuring Both with Cloud Enterprise Content Services For many years, there has been a fear among IT professionals that the user freedom and empowerment offered by collaborative systems would make it difficult to adhere to processes and enforce compliance standards. However, in today’s digital world, enterprises need both compliance and collaboration to thrive. Stéphane Donzé, CEO of AODocs discusses a...

Why Your E&C Program Should Be Operationalized An ethics and compliance program is in trouble from the start if it meets with staunch opposition from any element within in the organization. Michael Volkov explains why the best programs are operationalized, with buy-in and cooperation from every function. The beauty of an effective ethics and compliance program is captured in the...