Compliance

Compliance training is met with moans and groans by employees. It is always seen as a necessary evil. But does it have to be viewed that way? Compliance training expert Ayesha Omer knows better: there are plenty of ways to make it more purposeful and engaging. Read on for tips and strategies to do away with boring compliance training.

“Collaboration, not Subordination” Captive compliance programs are hamstrung programs. Compliance officers who enjoy independence and are able to collaborate with legal, HR and other key business teams… they’ll be far more effective. We’ve long discussed the need for compliance officers to have a seat at the table. It’s time for businesses to graduate to Compliance 2.0. By: Donna Boehme I...

Chief Compliance Officers come up against some formidable challenges. Without robust attorney-client privilege, unearthing compliance violations in the course of internal investigations could be one of them. Herein lies the perfect opportunity for a CCO/Chief Legal Officer partnership.

Real estate is one of most attractive sectors for criminals to launder dirty money due to the ease of entering and exiting the market, as well as weak regulations in the industry. This article highlights the most common schemes criminals use to launder ill-gotten money.

AML expert Ahmed Taimour regularly shares updates on developments in compliance from around the world. This month, we take a look back at some of the most significant news in the last 12 months.

A recent Washington state Supreme Court adopted a rarely affirmed position and held that attorney-client privilege does not extend to postemployment communications between former employees and counsel representing the former employer. This ruling would impact counsel responsible for conducting internal investigations and could restrict their ability to interview their clients’ former employees.

We’ve seen many corporate scandals this year, and time and again, misconduct is trickling down from the top of the org chart. Risks can come in many forms, but when the chief culprit is in the C-Suite, the organization can be in real trouble. Michael Volkov explains why Chief Compliance Officers should pay special attention to executives and the board.

In the wake of the Wells Fargo scandal related to the creation of millions of unauthorized accounts, government records revealed that former employees-turned-whistleblowers contacted the federal agency tasked with investigating whistleblower complaints as early as 2009, once again raising questions of how federal agencies can better protect whistleblowers.

How will Trump impact compliance? This download offers insights from top compliance professionals: Tom Fox, Michael Volkov, Jay Rosen, Jonathan Armstrong and Matt Kelly. From the "Everything Compliance" podcast.

Rule 502 offers novel and expansive protections for litigants in federal court, but when applied in the course of a federal investigation, its regulations concerning privilege waiver offer little peace of mind. Part 1 covered issues with the Rule, and today’s follow-up delves into protections against subject matter waiver and tips to employ the Rule effectively.

The fear of inadvertent waiver of attorney-client privilege or attorney work product in large-scale document productions has long kept defense counsel on edge. While amendments to the Federal Rules of Evidence have armed litigants with some novel (if underused) defenses against inadvertent privilege waiver, a party facing a government investigation, unfortunately, may not always enjoy such protections.

Many Americans are concerned about potential changes to trade and economic sanctions following Donald Trump’s election as President. Significant and strategic foreign investments must be cleared through the Committee on Foreign Investment in the United States – an important check to maintain national security and prevent foreign entities from gaining control over critical assets and infrastructure.