The Compliance & Ethics Blog

How Organizations Can Rebuild Trust From The Bottom Up

By Deborah C. Michalowski, CPA Process & Systems Finance Business Specialist at Intel Corporation Chair of IMA’s Committee on Ethics Trust in institutions and organizations is steadily declining. The 2018 Edelman Trust Barometer found that trust in businesses in the U.S. dropped 10 percent in 2018 and less than half of all individuals trust institutions and […]

Lauren Connell on Building Cross-Functional Partnerships [Podcast]

By Adam Turteltaub Compliance can be a lonely job, but it’s best not done alone.  Working with other departments is essential for a program to be successful. Lauren Connell, the Director, Compliance & Integrity at Nielsen, has found a few keys for making cross-functional partnerships work. First, she advises in the podcast (and for […]

Five things to do NOW to deal with Sexual Harassment Compliance Challenges

By Kristy Grant-Hart Two years ago, Time Magazine’s Person of the Year was the silence-breakers of the #MeToo movement.  In late 2018, in response to the movement, many U.S. state laws came into force requiring sexual harassment training and policies for employers.  For instance, in New York, most employers are now required to implement […]

Syed Hussain on Compliance and Blockchain [Podcast]

By Adam Turteltaub I admit it.  I have a problem when it comes to understanding blockchain technology.  I think I understand what it is and somewhat how it works, but I’m not sure why anyone needs it, or how it can be used for compliance programs. Syed Hussain, CEO of the Americas for BANKEX […]

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 […]


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