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Compliance

Clark Conine 0
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Businessman Questions
Compliance
August 17, 2017

Risk Management: 10 Questions for CEOs and Boards

Rapid change seems to be the order of the day, as the speed and complexity of business continue to increase. Technological advances such as cloud computing, mobile devices and social media continue to take hold. Regulatory demands continue to expand. Workforce dynamics continue to evolve. These and numerous other trends…
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Maurice Gilbert 0
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Compliance
August 11, 2017

The Case for Compliance Automation

Bridging the Gap Between Development & Information Security Every company wants to move fast – and DevOps helps make software deployment faster. But without proper controls, moving faster may simply mean developers are releasing security vulnerabilities. Rather than approaching information security as a bolt-on afterthought in the development cycle, companies…
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Maurice Gilbert 0
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Compliance
August 4, 2017

Gut Check: How Many People on Your Board of Directors Know Your Chief Compliance Officer’s Name?

It’s long been said that an effective compliance program can’t exist without a strong culture of ethics and compliance – especially one that’s driven by tone from the top. Since employees will look for direction from above, doesn’t the Board play a critical role? I’m certain that it does. I’m less certain…
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Maurice Gilbert 0
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Compliance
July 31, 2017

Protecting Privilege of the Corporate Compliance Officer

4 Safeguards for Privileged Communications Although the compliance function works hand in hand with corporate counsel, the CCO shouldn’t expect all communications with counsel to be protected in the event of an investigation. In fact, there are specific requirements of privileged communications, and most day-to-day compliance discussions won’t be considered…
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Maurice Gilbert 0
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Compliance
July 17, 2017

What Does the “Good News Cocoon” Mean to Business & Compliance?

Keeping Your Ears Open to Hear What’s Broken Leaders are expected to facilitate the organization’s success; that’s why they’re paid the big bucks. But there are too many layers separating executives from front-line staff, it’s rare for them to hear firsthand where key ethics and compliance issues lie. Richard Bistrong…
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Maurice Gilbert 0
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Compliance
July 10, 2017

“Compliance Officer” vs. “Integrity Officer”

This article may stir up a few emotions for you. Good. That's the intent. You see, words have power. They have emotion. They have context. And they have this intangible, subconscious, instinctive reaction that we don't even know how to discern but which affects the way we think, interpret, speak…
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Maurice Gilbert 0
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Compliance
July 3, 2017

How to Streamline Your Wage Audit Responses and Ensure Compliance

with co-author Sheldon Jackson If you are a large employer, chances are good that you have experienced an unemployment benefit wage audit in recent years.  In fact, over the past several years, there has been a substantial increase in the number of wage audit requests made by state unemployment agencies.…
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Clark Conine 0
5
Compliance
June 22, 2017

5 Common Mistakes Chief Compliance Officers Make (And How to Avoid Them)

Chief Compliance Officers are fallible – I know that is not a controversial statement. To err is human, and CCOs are members of the human species. With the enormous expectations placed on CCOs' shoulders, they are bound to make some mistakes. I have seen CCOs who have run into difficulties,…
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Maurice Gilbert 0
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Compliance
June 19, 2017

The Path to Compliance and Operational Excellence, Part 2

Read Part 1 here. Robust Program Mechanics (Best Practices with Corresponding Procedures) While the leadership is probably the most critical component, the leaders cannot effectively lead if they do not have the tools to keep flying the ship, even under the difficult and trying times. Captain Sullenberger had to make…
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Maurice Gilbert 0
0
Compliance
June 16, 2017

The Path to Compliance and Operational Excellence, Part 1

In February 2009, Captain Chesley "Sully" Sullenberger made a heroic landing of US Airways Flight 1549 in the Hudson River, saving all on board, after the complete failure of both engines over New York City. A few weeks later, in an address before the Committee on Transportation and Infrastructure of…
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