Compliance

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...

Pharma Giant Graduates to Compliance 2.0 In this post from 2018, Donna Boehme dubbed Novartis a new "rock star" on the corporate compliance landscape, claiming the company had elevated its approach to compliance, culture and trust to best practice “Compliance 2.0” status. My readers are familiar with my analysis of the many Compliance 1.0 train wrecks over the past decade,...

Updated 2018 There are tens of thousands of medical devices being advertised and promoted in the U.S. The Food and Drug Administration (FDA) has statutory authority to regulate the advertising and promotion of “restricted” medical devices as well as any medical devices that are not authorized by FDA for sale or distribution for their intended use. A “restricted device” is...

Ideas to Maximize Hotline Effectiveness It could be a good sign if the phones aren’t ringing at your organization’s hotline – or it could be indicative of a failing ethics and compliance program. Ron Kral discusses how to maintain a successful hotline program. Is your whistleblower hotline alive or dying a slow death? Whether it’s an effort to jumpstart your...

5 Ways Organizations Can Benefit from ML Heidi Maher, Executive Director of the Compliance, Governance and Oversight Council (CGOG), discusses the machine learning (ML) use cases for compliance and legal teams, plus key first steps for taking advantage of ML technology. Compliance and legal teams are struggling to keep pace with an ever-evolving regulatory and legal landscape – from constantly...

Corporate Social Responsibility Suggestions to increase diversity and measure the improvement; monitor evolving stakeholder expectations, particularly around social responsibility; help those displaced by technology through training to improve people’s lives; and manage brand image and reputation. In addition, we offer key questions for each of the 10 suggestions to provide tech executives and directors a useful diagnostic for assessing their...