The Compliance & Ethics Blog

Tomell Ceasar on Compliance in the Middle East [Podcast]

By Adam Turteltaub Tomell Ceasar has spent the last 10 years working in compliance and governance roles in Dubai, both for local and multinational companies.  In that time he’s seen a lot of change in compliance programs. For one, he notes in this Compliance Perspectives podcast, the job used to be a lot lonelier.  […]

No Data Flow Analysis? No Risk Assessment

By Diane Evans Publisher, MyHIPAA Guide Here is a simple truth about assessing risks under the Health Insurance Portability & Accountability Act (HIPAA):   Start by knowing all the places where private information is. Once you know where it is, you can determine where it might end up.  In this sense, risk assessment amounts to a […]

Day 1 of the College Admissions Bribery Scandal

By David D. Dodge Knowing where to start unraveling the college admissions bribery scandal after Day 1 is a challenge.  But the headlines give us a good start in learning what happened in the latest list of ethical failings in athletics and where the case may be heading: College Admissions Scandal: Actresses, Business Leaders, […]

Shirley Qual and Andrea Ekeberg on Compliance During Mergers and Acquisitions In a Time of Healthcare Transformation [Podcast]

By Adam Turteltaub By Adam Turteltaub A merger or acquisition is an expensive proposition for an organization and one that is rich in both business and compliance risks.  That’s particularly true for the healthcare industry, with its substantial regulatory burden and constant change. Shirley Qual and Andrea Ekeberg at UnitedHealthcare will be sharing their […]

Gee, do we really need the leaders to set an example? The Chief Justice isn’t sure.

By Joe Murphy, JD, CCEP, CCEP-I Compliance Strategists The March 8 Wall Street Journal reports that Chief Justice Roberts is considering whether the Supreme Court should have a code of conduct to address things like harassment. Herein lies a story about the misguided approach to harassment in the US.  In the field of harassment, […]

Laura Perkins on the Latest FCPA Enforcement Trends [Podcast]

By Adam Turteltaub With a constant stream of enforcement actions related to the US Foreign Corrupt Practices Act (FCPA), it can be difficult to read the tea leaves and discern the patterns. Laura Perkins of Hughes Hubbard & Reed is co-author of the firm’s Annual FCPA & Anti-Bribery Alert, which gives her perspective on […]

Empowering Employee Ideas: Turning Sour Grapes into Fine Wine

By Carrie Salters Freer Consulting Co. According to John Kotter in Leading Change, “occasionally a brave and competent soul at the middle and lower level in the hierarchy is instrumental in creating the conditions that can support a transformation.” [1] But how do you empower employees to create these conditions? When I ask employees at […]

What is ‘Compliance Training,’ Anyway? A Simple Explanation of What it is—and isn’t.

By Ricardo Pellafone Founder, Broadcat One of the tough things about ethics and compliance is that it involves a lot of relatively complex, abstract concepts. As a result, it’s really easy to get stuck with fuzzy definitions for things—the kind that sound inspirational and uplifting but are actually pretty hard to put into practice because they’re not […]

Professor Sydney Finkelstein on Leadership and Business Success [Podcast]

By Adam Turteltaub Sydney Finkelstein is the Steven Roth Professor of Management at the Tuck School of Business at Dartmouth.  In addition, he is the author of 20 books, including Why Smart Executives Fail, Think Again and SUPERBOSSES:  How Exceptional Leaders Master the Flow of Talent.  And, if that wasn’t enough, he is the […]

Are Standard Computer Soft-Deletes Good Enough for Privacy Regulations?

By Bill Tolson Vice President, Archive360 Various government privacy regulations, including GDPR, CCPA, various state regulations, and the draft federal privacy bill currently in Congress (the Consumer Data Protection Act) all include some form of the right to data erasure, otherwise known as the right to be forgotten. Because the regulations don’t specify the details […]

Laura Ellis and Michael Lampert on Learning from Healthcare Corporate Integrity Agreements [Podcast]

By Adam Turteltaub No one wants to work under a Corporate Integrity Agreement (CIA), but there are lots of good lessons that can be learned from them. Laura Ellis, Senior Counsel in the Office of Special Counsel to the Inspector General at HHS, and Michael Lampert, a partner in the Boston office of Ropes […]

Managing Risk Through Corporate Anti-Modern Slavery Compliance

By Fabio Leonardi, Counsel Pillsbury Winthrop Shaw Pittman Until recently, federal anti-modern slavery law was rarely within the purview of the corporate compliance world.  In very recent years, however, this relatively new body of laws also known as the Trafficking Victims Protection Act (“TVPA”) is becoming increasingly familiar to compliance professionals, plaintiffs lawyers and enforcement […]

Robert Hunt on Conducting Internal Investigations in Asia [Podcast]

By Adam Turteltaub For a long time corporate internal investigations in Asia tended to be anti-corruption related, reports Robert Hunt, a partner in the Hong Kong office of the law firm.  These days, though, while bribery is still an area of great concern, other issues have started to gain more of the spotlight.  Of […]

Training Compliance Officers

By Justin Muscolino Head of Compliance Training, GRC Solutions In this blog post, Justin Muscolino, GRC Solutions’ Head of Compliance Training in North America, reflects on the benefits of having a training program for Compliance Officers. During my career in compliance training I’ve learned first-hand that you need all the assistance you can get. It’s […]

Jane Mitchell on Corporate Culture [Podcast]

Culture is always discussed as critically important to successful compliance and ethics programs, but what is it exactly? “Culture is what happens when an individual’s behaviors meet an organization’s,” according to Jane Mitchell, the founder and director of JL&M, a consultancy.  In this podcast, Jane, a frequent speaker at SCCE international programs, offers a deep […]

Giving Cybersecurity the “Cassandra Treatment”

By Jonathan Rusch Principal, DTG Risk & Compliance LLC In Greek mythology, the god Apollo gave Cassandra, the daughter of King Priam of Troy, the gift of prophecy, but then decreed that her prophecies would never be believed.  During the Trojan War, Cassandra predicted the fall of Troy – even the presence of men in […]

Decolonizing Compliance with the Seven Grandfather Teachings

  By Jamie Kellicut, BSW, CCEP Lac Courte Oreilles Band of Lake Superior Chippewa Indians of Wisconsin Senior Compliance Officer with Forest County Potawatomi Gaming Commission, Milwaukee, WI As a Compliance Officer in tribal regulation I have at times struggled with keeping my culture at the forefront of my compliance work. But a few years […]

Andre Bywater on the UK Modern Slavery Act [Podcast]

By Adam Turteltaub The UK Modern Slavery Act has been law for some time now, requiring companies doing substantial business in the United Kingdom to disclose what they are doing to combat modern slavery, and to post a disclosure statement on their website. As Andre Bywater of Cordery Compliance reports in the Compliance Perspectives […]

Jonathan Rusch on Behavioral Science and Compliance [Podcast]

By Adam Turteltaub Is it a few bad apples?  A whole barrel full of them?  Or is it the barrel that’s the problem, and not the apples? It’s a long-debated topic in ethics and compliance, and Jonathan Rusch, Principal of DTG Risk & Compliance LLC, argues that there is much that can be answered […]

Academics and the Field of Compliance & Ethics

By Joe Murphy, JD, CCEP, CCEP-I Compliance Strategists Over the years I have done substantial amounts of research in the field of compliance and ethics.  I have found quite a few people in academia who have offered strong opinions about compliance programs.  Many of these are well-reasoned and offer helpful perspectives.  But there are […]


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