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Compliance

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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Clark Conine 0
2
Compliance
June 14, 2017

The 2 Most Important Words in a Compliance Dictionary

This article was republished with permission from Michael Volkov’s blog, Corruption, Crime & Compliance. Humans have an innate desire to complicate things. When it comes to ideas, professionals are no different; compliance consultants, lawyers, financial advisers and others enjoy solving complicated problems. Such an approach, however, does a disservice to clients and…
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Maurice Gilbert 0
0
Compliance
June 12, 2017

Overtime Rules in Overtime, Part 2

Where We Stand Now The nation has demonstrated a peaceful transition of power from one administration to another, but we remain in limbo on the overtime rules. The U.S. Department of Labor’s appeal, filed in the Fifth Circuit Court of Appeals, is still pending. At the district court level, the…
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