The Compliance & Ethics Blog

One Year Later: What Have You Done?

By Andrea Falcone, JD, CCEP Principal & Head of Advisory Services I can’t believe I’m writing this, but it’s been a year. Twelve months since the Harvey Weinstein scandal broke. And so many things changed with it – the #metoo movement, public discussion about previously-taboo subjects, resignations or terminations of powerful leaders in business, entertainment […]

Study: Organisational Whistleblowing Gains Momentum

By Jan Tadeusz Stappers Legal Counsel, WhistleB During the last twelve months, whistleblowers have been frequently featured in international media. News agencies have covered a range of stories on exposures of wrongdoings, such as the Panama Papers, MeToo and LuxLeaks. One thing that has been interesting to note is how enthusiastically the general public has endorsed […]

The DOJ’s Richard Powers on Antitrust Enforcement [Podcast]

By Adam Turteltaub Richard Powers, the Acting Deputy Assistant Attorney General for Criminal Enforcement in the US Department of Justice’s Antitrust Division was good enough to sit down for a podcast and share where the DOJ’s priorities are in this significant risk area. His key message:  The DOJ is focused on antitrust compliance and […]

A Humbling and Inspiring Image

By Adam Turteltaub Eons and another job ago, I learned that the SCCE was planning on starting a certification program for compliance people through the Compliance Certification Board (CCB)®.  I was skeptical.  Why would compliance people want that?  Who would bother? I subsequently learned that most every other related profession had a certification.  Internal […]

How Good is Your COI System? Three Critical Features to be Aware of

By Brendan Walters Osprey Software Conflict of interest software solutions have become a critical component in minimizing exposure to the risk and cost of noncompliance—which, by the way, averaged more than $14 million annually for each company examined in a major 2017 study.  The right conflict of interest software performs the vital task of ensuring […]

Beth Haddock on Insider Trading [Podcast]

By Adam Turteltaub Insider trading is illegal trading in securities based on material, non-public information in breach of a fiduciary or any other trust relationship. That’s a lot of legal terms, and the issue is an ongoing headache for compliance professionals at publicly-traded organizations. Beth Haddock, who has spent over 20 years in compliance […]

Z is for Zeal

Copyright © 2018 by Barney Rosenberg President, Ethics Line, LLC™ It feels like I ought to have something profound to say now that we have come to the end of our ethics alphabet.  I could quote Winston Churchill, during the German blitz of London during the Second World War: “This is not the end.  […]

Danske Bank’s Record Money Laundering Scandal Exposed

By Sascha Matuszak Reporter, SCCE|HCCA For almost a decade, Danske Bank’s Estonian branch was a go-to for individuals in Russia and the former Soviet Union who needed to legitimize billions in illicit funds. The bank’s CEO, Thomas Borgen, resigned on Septmeber 19th, after the details of a two-year internal investigation were released to the public. […]

Marsha Ershaghi on Setting the Right Tone on the Ground [Podcast]

By Adam Turteltaub Tone at the top is essential, but it’s also important to ensure that middle and front-line managers are echoing the same tone when it comes to compliance and ethics.  If employees hear great-sounding values from up on high, but see or hear something less laudable from their immediate boss, a lot […]

Water Polo Added to the Growing List

By David D. Dodge In the wake of the Dr. Larry Nassar scandal at USA Gymnastics and Michigan State University and ongoing investigations at USA Swimming where allegations of sexual abuse were reportedly ignored for decades, new reports have emerged concerning similar abuses at the International Water Polo Club in Los Alamitos, CA.  According […]

Compliance Report Card: How is the Compliance Officer’s Relationship with the Board Doing?

Margaret C. Scavotto, JD, CHC President, Management Performance Associates In April 2018, the Society of Corporate Compliance and Ethics and the Health Care Compliance Association released a report: The Relationship between the Board of Directors and the Compliance and Ethics Officer. This report includes (among others) the following compliance officer survey findings: About half of […]

Erica Salmon Byrne on Root Cause Analysis [Podcast]

By Adam Turteltaub An incident occurs.  Everyone wants to know what happened and what the company is doing about it. To truly understand the problem, however, it’s not enough to look at what happened.  You need to get to the roots to understand why things happened.  Was there something in the training, culture, tone, […]

What is Considered a HIPAA Breach in 2018?

By Marty Puranik, Founder, President, CEO, Atlantic.Net Especially given the Breach Notification Rule, the requirement to send out notifications to patients and other parties following compromise of your healthcare information defenses, it is important to think specifically about what a breach is and how likely ones of different types are to occur. What is and […]

Y is for Yes

Copyright © 2018 by Barney Rosenberg President, Ethics Line, LLC™ The easiest word to say in business is also one of the shortest in the English language: NO Did anyone ever get into trouble for saying “No, let’s not do that deal.”  Or “No, legal says it’s illegal.” Or “No, those are not our […]

Keeping Tabs on the RFP Process

By Ganesh Shankar CEO and Co-Founder, RFPIO, Inc. For many compliance and privacy officers, the way the company’s sales and marketing teams respond to requests for proposal (RFPs) falls well under the radar of legal, privacy and compliance concerns.  But should it? In many cases, the content that ends up in RFPs could be exposing […]

David Brent on Electronic Equipment Disposal Risk [Podcast]

By Adam Turteltaub Congratulations:  they’ve given you a new laptop or phone.  Condolences:  you better know what they plan on doing with your old device. It’s not enough to simply put them in the trash or send them off to any ewaste recycler, explains David Brent of ERI, an electronic waste recycler.  There are […]

Workplace Incident and Scandal: True Cost and Preventative Measure

Brendan Walters Osprey Software Popular Press At this point, it is commonplace.  It is nearly impossible to miss in the news.  There are a remarkable number of workplace-related incidents each year, ranging from workplace nuisances to major infractions.  Minor incidents aren’t likely to make the news, of course, but corporate scandal, sexual harassment, and insider […]

Kirsten Liston on Emerging Trends in Compliance Training [Podcast]

By Adam Turteltaub As long as there have been compliance programs there has been compliance training.  Despite that constancy, how that training is delivered has changed dramatically.  It has evolved from lawyers standing in front of the room with acetates, to online training, phone-based training, and even compliance games. What’s driven the evolution?  Part […]

Dallas Mavs Address Workplace Misconduct Matters

By David D. Dodge With the support and oversight of the NBA, the Dallas Mavericks have taken vigorous steps to address misconduct in the Mavs’ front office dating back nearly two decades.  The corrosive culture in the Mavs’ organization was first reported in a Sports Illustrated article which described “a corporate culture rife with […]

X is for X (The Unknown Factor)

Copyright © 2018 by Barney Rosenberg President, Ethics Line, LLC™ All right, true confessions.  I have been dreading X in this series.  But, with your support, let’s give X a try.  We all remember solving for X from high school algebra.  The unknown factor in an equation. So what is the unknown factor that […]


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