The Compliance & Ethics Blog

Updates to NIST Risk Management Framework

By Daniel Fabbri, CEO of Maize Analytics, Assistant Professor of Biomedical Informatics and Computer Science at Vanderbilt University The National Institute of Standards and Technology (NIST) released revision 2 of NIST SP 800-37, Risk Management Framework for Information Systems and Organizations in December 2018.[1]The revision recognizes the importance of both information security and privacy: “While […]

TRACE Bribery

By Sascha Matuszak Reporter, SCCE|HCCA TRACE International released its 2018 ranking of bribery risk in countries around the world. The list, which covers 200 countries, analyzes the possibility of companies being asked to pay bribed to foreign officials, and takes into account four major factors: The nature and extent of government interaction with the private […]

Vision or Pain

By David D. Dodge History tells us that organizational change usually comes about as a result of vision or pain, or sometimes both.  Not long ago I asked a friend, an experienced compliance professional, what he thought it would take for sports organizations to begin developing and establishing effective compliance programs which have served […]

Michael Johnson on Investigative Interviewing [Podcast]

By Adam Turteltaub What should I ask when interviewing someone as a part of an investigation?  Where should I conduct the interview?  How do I know if the person I’m talking to is telling the truth? According to Michael Johnson, CEO of Clear Law Institute, before you ask all that, start by thinking about […]

Delightful Honesty – Finding Your Truth Serum Buddies

By Roy Snell I just met someone who was delightfully honest. It triggered an idea for this post. Her name is Beverly Kracher, and she runs the Ethical Business Alliance in Omaha Nebraska. Sometimes I get an idea in my head about something and it haunts me. I can’t explain it, but it seems […]

How to Avoid the Dangers of Identity Theft

By Larry Reed Technical Writer, Design Rush Identity theft occurs when a malicious third party deliberately assumes your identity for the purpose of obtaining some sort of an advantage over you, or otherwise cause you harm. Identity thieves may use your information to make purchases, apply for loans, file tax returns, take control of your […]

Compliance Officer Interview: Connie Rhoads and Pet Posters!

Margaret C. Scavotto, JD, CHC President, Management Performance Associates Today I am going to tell you about the best compliance culture idea I have ever heard: Pet Posters. That’s right: Using employee pet photos to create posters promoting compliance. This idea is clever, charming, motivating, effective – and the brainchild of Connie Rhoads, Vice President […]

Susan Du Becker on Removing the Negative Stigma Around Compliance [Podcast]

By Adam Turteltaub It’s not always easy walking into the room as a compliance officer.  Employees often tense up and wonder “what now.” It doesn’t have to be that way, and Amsterdam-based Susan Du Becker, Global Compliance Enablement for Cisco, has identified how to build a more positive relationship.  Turning things around, she explains, […]

It’s the Culture, Stupid

  By David D. Dodge About a year and a half ago USA Gymnastics (USAG) released Deborah Daniels’ report which called for a cultural shift in the National Governing Body (NGB).  Ms. Daniels’ investigation was commissioned by USAG following widespread reports of allegations of sexual abuse by its team doctor, Larry Nassar.  Ms. Daniels, […]

Mistakes Governments Make in Dealing with Compliance Programs

By Joe Murphy, JD, CCEP, CCEP-I Compliance Strategists In the past I have written about mistakes companies make in their compliance programs, see Joseph E. Murphy, Policies in conflict:  Undermining corporate self-policing, 69 Rutgers U.L. Rev. 421 (2017), But what about the other half of this issue: the mistakes governments make in dealing […]

Dan Roach on Working with the Board [Podcast]

By Adam Turteltaub Dan Roach is Chief Compliance Officer for Optum360 and one of the co-founders of the Society of Corporate Compliance and Ethics.  He has directed the development and implementation of compliance programs for more than 25 years.  Throughout this time he has staffed boards and compliance/audit committees, as well as served on […]

8 Pillars of Anti-Corruption Assessment

By Sundar N Director, Forensic Services SKP Business Consulting LLP Companies are increasingly considering anti-corruption assessments to evaluate the compliance adherence to existing policies or benchmark their policies with established best practices. Greater interest has developed with ISO 37001 on anti-corruption compliance preparedness for the companies, however, the extent to which companies adapt to ISO […]

Michael Levin on When Compliance is a Part of Risk Management [Podcast]

By Adam Turteltaub These days compliance typically stands alone and reports directly to the board.  But that’s not true for every organization. At Freddie Mac, compliance is a part of Enterprise Risk Management (ERM), albeit with a reporting line to the audit committee of the board. To get a better sense of how this […]

Roy & Risk

By Joe Murphy, JD, CCEP, CCEP-I Compliance Strategists In the December Compliance & Ethics Professional magazine, Roy makes many important points in his feature interview, but there are a couple I would like to emphasize here relating to “risk,” and its connection to compliance & ethics. First, it is clear these are not synonyms.  […]

A View from Abroad

By Sally March Director of Drummond March Ltd. On the Brink of Brexit There has been an elephant in the room, so to speak, for the past two years called Brexit.  The Government went into the referendum without a proper study of the potential impact of leaving the EU. The debates have been a morass […]

Odell Guyton on Delivering Bad News to Management [Podcast]

By Adam Turteltaub Delivering bad news is never easy, especially when that news is an allegation of serious wrongdoing.  Fortunately for the rest of us, Odell Guyton, Managing Director at Klink & Co. and a co-founder of the SCCE, is willing to share his expertise in this thorny area. As he explains in his […]

How to Keep it Real When it Comes to Estimating Vendor Risks

By Quin Rodriguez Vice President, Strategic Marketing Riskonnect Until recently, vendor risk management took a back seat to enterprises managing increasing governance and compliance issues. However, forward-thinking organizations are starting to realize the dangers of failing to incorporate vendor risks as part of their integrated risk management strategies. While today’s ever-changing risks are steering many […]

Art Weiss on Compliance in Privately-Held Companies [Podcast]

By Adam Turteltaub If you work in a large, global company these days, odds are very good that there is an extensive ethics and compliance programs. Yet, many wonder why would a domestic company that’s small or medium-sized need one? Art Weiss, Chief Compliance & Ethics Officer at TAMKO Building Products has a great, […]

7 Most Common Cybersecurity Mistakes To Avoid

By Freddie Tubbs Business Analyst, Academized Most website owners pay close attention to various factors affecting their website`s popularity and conversions but leave little to no room for thinking about their cybersecurity. While it may be completely unimportant when you just want to build an audience and drive conversions, what you have to understand is […]

Compliance in Mongolia

By Adam Turteltaub This is a picture of me speaking at a compliance conference that I was invited to attend.  It looks like many other pictures of me at compliance conferences.  And it looks like many compliance conferences we have all been to. But this one is different.  It’s in Ulaanbaatar, Mongolia.  To spare […]


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