Tag: tone at the top

Beyond Anti-Harassment Training

Posted by Brian Lee - October 9, 2018

A Holistic Approach to Addressing Harassment As cultural movements continue to raise awareness about misconduct, compliance and ethics programs are putting more power behind training their employees on how to identify and report harassment in the workplace. Despite this increased emphasis, less than half of employees who observed harassment reported…

Where Are Boards of Directors When Ethics Oversight is Involved?

Posted by David Greenberg - August 1, 2018

The Value of a “Built In” vs. “Bolted On” E&C Program Ethics and compliance are far too often neglected by boards of directors at big firms, even though it’s settled law and policy that boards of directors are required to oversee company compliance. In fact, a survey of 26 past…

Steering the Sales Strategy Toward Compliance

Posted by Valerie Charles - July 24, 2018

Why Teaching Compliance Isn’t Sufficient Sales teams live and die on incentives. And there’s nothing wrong with that per se, but consider what’s at risk when incentives push sales reps in the wrong way. Valerie Charles, Chief Strategy Officer at GAN Integrity, examines the compliance challenges organizations face in encouraging…

4 C’s to Increase the Value of Internal Audit

Posted by Jim DeLoach - July 20, 2018

Ensuring the Effectiveness of a Risk-Based Audit Plan Protiviti’s Jim DeLoach explores how to bolster internal audit’s efforts in providing recommendations that are strong, actionable and in keeping with the board’s expectations. We’ve always believed that boards should ensure that their organizations maximize the full potential of internal audit. There…

The Same Old Workplace Training Won’t Cut It

Posted by Amy Bess - June 21, 2018

Addressing Sexual Harassment in the #MeToo Era, Part 4 What has your organization done to ensure employees understand your commitment to a respectful, harassment-free workplace? How do you ensure leaders are sending the right messages? The fourth and final byline in our series will address those questions. with co-author Sadina Montani…

Top Risks Facing General Counsel in 2018

Posted by Veta Richardson - March 30, 2018

Common Concerns for CLOs In the past, the law department was positioned solely as advisors on legal problems, but this year brings the chief legal officer’s role as a key business strategist to the forefront. While chief legal officers and general counsel work for companies of varying sizes within different…

The Real Return on Risk and Compliance Technologies

Posted by Grace Brasington - March 2, 2018

The Value of Big Data A crucial shift is underway in the financial services industry when it comes to regulatory compliance; cultures are changing, and new value is being created for banks and their customers because of AI technology. Grace Brasington of Watson Financial Services discusses the role technology can…

5 Ways to Elevate the Board’s Oversight of Compliance

Posted by Chuck Saia - September 29, 2017

Expanding the View to Include Culture Does your organization view compliance as a “check the box” exercise? Many companies do. Chuck Saia, CEO of Deloitte Risk and Financial Advisory, feels differently and shares five ways a board can start broadening its view – and management’s view – of compliance to…

The Top 5 Mistakes Boards Make in Overseeing Compliance

Posted by Cynthia Dow - September 15, 2017

How to Avoid Costly Missteps Russell Reynolds Associates’ Cynthia Dow and Anthony Goodman, compliance and board experts, interviewed leading chief legal officers, chief compliance officers, former investigators and board directions to under the biggest compliance missteps boards make. with co-author Anthony Goodman We can all easily recount a recent compliance…

Setting the Tone: No Back Seat for the CEO

Posted by Barbara Jones - August 24, 2017

How the CEO Can Best Support Compliance Keeping a tight rein on compliance is the name of the game for every business entity, whether early-stage, family-owned or large multinational. And – while it’s the CEO who ultimately sets the tone – the culture of compliance has a strong foundation in…

5 Strategies to Infuse Compliance Companywide

Posted by Brian Lansing - August 11, 2017

How the CEO Can Support Compliance Many executives view compliance as a “check the box” proposition. In this column, LeClairRyan attorneys Brian Lansing and Patrick Hurd argue that a focus on compliance should permeate the entire organization, in much the same way that Amazon obsesses about customer service. It all…

The Key to Improving Corporate Culture

Posted by Brian Lee - August 11, 2017

3 Ways to Affect a Different Kind of Climate Change In light of the corporate compliance failures that have entered the news cycle, compliance programs have increasingly focused on the role culture plays in causing these failures. However, while most compliance executives understand the link between culture and employee misconduct,…