The Compliance & Ethics Blog

Roy Snell on SCCE, HCCA and the Compliance Profession [Podcast]

By Adam Turteltaub For over two decades the Society of Corporate Compliance and Ethics and Health Care Compliance Association, along with the entire compliance profession, has benefited from the leadership of Roy Snell.  With Roy’s retirement beginning on November 1, 2018 we wanted to have one last opportunity to gain his insights while he […]

Tissues, Towels, TVs and Consistency

By Adam Turteltaub I see scenes like the one in the picture a lot.  A message from a hotel about being green and saving the environment, placed right in front of ten tissues turned into a lovely origami-esque flower that I’ll end up having to throw away just to get a usable one to […]

The Very Heart of the Matter: How Having Open Heart Surgery Reminded Me Why Ethical Cultures Are So Important to an Organization and Why What I do as an Ethics Practitioner Matters So Much

By Ann D. E. Fraser, PhD Executive Director, Canadian Food Inspection Agency I woke up early the morning of March 15, 2017 with the intention of catching a flight to Moncton, New Brunswick to provide values and ethics training to some of our Agency employees. When I got up I knew something was very wrong. […]

Why People Engage in White-Collar Crime

By Robin Singh, CFE, CCEP, HCCP Compliance and Fraud Control Lead, Abu Dhabi Government Derivatives trader Nick Leeson grabbed the headlines in the mid-nineties for all the wrong reasons. The trader, having worked his way to the top at Barings Bank, took over as head of Singapore stock exchange in 1995. By this time, his […]

Philippa Foster Back on Ethics at Work [Podcast]

By Adam Turteltaub In 2005 the London-based Institute of Business Ethics conducted its first Ethics at Work survey.   At the time it focused solely on Great Britain.  Since then, as Philippa Foster Back, the IBE’s Director explains, the survey has grown to include twelve European countries. The findings from the latest issue of this […]


By Kitty Holt Ethics & Compliance Officer, Plan International USA After five tries, I was ecstatic to hear that I was one of 50 people who had been randomly selected to attend the 2018 SCCE FBI Compliance Officer Academy. I headed down to DC in May, and had the pleasure of sitting across from Roy […]

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, […]


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