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Compliance

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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Maurice Gilbert 0
0
Compliance
June 9, 2017

Developing Engaging Compliance Training

How to Make Instruction More Interesting 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…
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Maurice Gilbert 0
0
Compliance
June 8, 2017

Investing in a Top-to-Bottom Ethical Culture Using Data

Keeping pace with technology is never an easy feat, but it seems Chief Compliance and Ethics Officers have found themselves awash in a sea of data — especially data useful to sustaining the long-term ethical culture of the organization. According to the 2017 Ethics and Compliance Survey, which surveyed more…
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Maurice Gilbert 0
0
5 Tough Questions About Organization's Compliance State
Compliance
June 7, 2017

Five Tough Questions CEOs Should Ask About Their Organization’s State Of Compliance

If you’re in a leadership role at your organization (and in a way, aren’t we all?) I want to direct your eyeballs and a few minutes of your time to a whitepaper I’ve been sharing with my clients lately. Published by PwC, it’s The State of Compliance 2016. I consider it “required…
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Maurice Gilbert 0
1
Why You Need Compliance Expertise in the Boardroom
ComplianceLeadership and career
June 7, 2017

Why You Need Compliance Expertise in the Boardroom

We in the GRC community know the value of an empowered compliance function: a CCO with authority, sufficient resources and the ear of the top brass. And to further ensure compliance success, experts are now calling for compliance expertise in the boardroom. Companies who have a director on the board…
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Maurice Gilbert 0
0
Former Chief Compliance Officer Settles Personal Liability Suit with US Government – Decision Raises More
ComplianceLeadership and career
June 7, 2017

Settlement of Personal Liability Suit Against Chief Compliance Officer Raises Questions

  Personal liability has been a hot topic in the compliance profession for several years – and it got hotter recently when the former Chief Compliance Officer of MoneyGram settled a personal liability suit with FinCEN and the DOJ. Thomas Haider will pay $250,000 of the original $1 million fine…
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Maurice Gilbert 0
0
Compliance
June 5, 2017

Why Compliance Officers Need Independence

I recently read a great blog post by Tom Fox on why compliance officers need independence.  And former federal prosecutor Michael Volkov, who completely understands the CCO's hard job, has reiterated the value of independence here, although this is mostly old news to any CCO who has been in the…
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Maurice Gilbert 0
0
Compliance
May 31, 2017

Who’s Still Worried About Personal Liability?

Compliance Officers, Not as Much. Board Members, More than Ever. So here’s something to chew on today: apparently compliance officers are less worried about personal liability these days (according to a study released Monday), but Board members surveyed say they are more worried about personal liability than they were last year. The survey, DLA Piper’s…
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Maurice Gilbert 0
0
Compliance
May 17, 2017

Compliance in Trump Era: More Markers Placed

Compliance officers trying to figure out how your job will or won't change during the Trump Administration, look at two events that happened last week. First, Jeff Sessions was confirmed as Attorney General. Second, the Trump Administration and its henchmen put the Conflict Minerals Rule in their sights. Within those…
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