Compliance Beat

Eric discusses the new memo from the US Department of Justice and its introduction and origins. Check out the memo itself here: https://www.justice.gov/criminal-fraud/page/file/937501/download The post New USDOJ Guidance – Part 1 – Introduction appeared first on Compliance Beat.

Just yesterday the USDOJ announced a new memo regarding the evaluation of compliance programs. Eric has some initial thoughts, but stay tuned for more podcasts diving into the details. You can find the new memo here: https://www.justice.gov/criminal-fraud/page/file/937501/download The post Breaking News! The US Department of Justice Releases New Compliance Program Guidance appeared first on Compliance Beat.

Eric talks again about his favorite topic: code of conduct! This time we discuss three common code of conduct development myths. We talk about how longer does not equal better. How a global code that applies to everyone is better than a constellation of many codes. And finally Eric discusses how organizations should be realistic… The post Three Myths About Code of Conduct Development appeared first on Compliance Beat.

This time Eric talks about three aspects of Chapter 8 of the Sentencing Guidelines that you may not have noticed before. The post Three Things You Might Not Know About the Organizational Sentencing Guidelines appeared first on Compliance Beat.

This time Eric talks through conflicts of interest disclosures. Who do you want to capture, what do you need to tell them, should you use tools? Eric talks through all of this and also spends some time talking about the types of questions you will want to ask in the disclosure questionnaire. Join Eric and… The post Disclose, Disclose, Disclose: Some Thoughts on Conflict Disclosures appeared first on Compliance Beat.

An important topic that we don’t talk enough about. Just as small businesses make up the vast majority of companies out there, and employ over 50% of the workforce in the USA, they also make up the majority of companies that get in the worst trouble for compliance failures — even though we rarely read… The post Small Businesses and Compliance appeared first on Compliance Beat.

This time we discuss benchmarking. First we discuss how you might go about determining the peer codes of conduct (or other written compliance standards) that you can use for benchmarking purposes. You probably have a good idea of some peer organizations that might fit, but Eric also discusses some other thoughts about what gets put… The post Benchmarking Your Code or Written Compliance Standards appeared first on Compliance Beat.

This time Eric talks about compliance surveys. Eric discusses what sort of content you might consider including in the survey instrument, whether you might want to consider benchmarking, and finally Eric discusses some of the practical elements of putting together a survey. The post Three Questions to Ask Before You Launch a Compliance Survey appeared first on Compliance Beat.

This time Eric talks about three different areas to focus on when evaluating how you are reaching your remote workers to educate and inform them of the compliance program. Eric discusses use of local and existing resources, what resources should be developed by the compliance function and how technology can be put to use. Eric… The post Strategies for Reaching Remote Workers appeared first on Compliance Beat.

This time Eric discusses some considerations when looking at the role, responsibilities and relationships the board (or governing authority) of the organization with the operational personnel of the compliance and ethics program. There are a few key best practices to consider when evaluating the board’s role, including their training and knowledge of their responsibilities, their… The post How Should the Board Be Involved in Compliance? appeared first on Compliance Beat.

In anticipation of our upcoming webinar on code of conduct development we talk today about what “requirements” for a code of conduct exist. Eric also provides a sneak peak into some of the content of the webinar by discussing the Department of Justice’s February 2017 memorandum and how that applies to code of conduct development.… The post What Are the Legal Requirements for A Code of Conduct? appeared first on Compliance Beat.

How do you avoid all compliance risk? Hint: you can’t. This week Eric talks about some recent articles and discussions that suggest there might be a magic bullet or two (sometimes in the form of a new software tool) that will take away those pesky compliance concerns. We alk about the practical and the pragmatic… The post How to Avoid All Compliance Risk… appeared first on Compliance Beat.

Happy Holidays from Compliance Beat! This week Eric discusses a few compliance program trends from the last year in the second of a two-part series here as we end 2018. This time Eric discusses leveraging opportunities, being part of the deal team and gaining better access to the board. We have another upcoming webinar with… The post Year-End Review, Part II: Compliance Program Trends appeared first on Compliance Beat.

Happy Holidays from Compliance Beat! This week Eric discusses a few compliance program trends from the last year in the first of a two-part series here as we end 2018. This time Eric discusses interesting developments in communications, data use and proactive risk assessment. We have another upcoming webinar with our friends as the Clear… The post Year-End Review, Part I: Compliance Program Trends appeared first on Compliance Beat.

We all want a compliance program that prevents and detects compliance failures before they happen. That is usually not what happens. Even the best programs and the best corporate cultures occasionally will face issues of misconduct. It is important for organizations to spend some time thinking about and preparing for that eventuality. In this episode,… The post Planning for Compliance Failures appeared first on Compliance Beat.

This week Eric spends a few minutes discussing some key elements to think about when trying to get the message out about gifts and entertainment and managing those frequent holiday calls (and issues) that revolve around the giving season. The post Tips on Gifts: What are Three Things to Consider Regarding Gift and Entertainment Compliance Programs appeared first on Compliance Beat.

This week Eric talks about one of the hallmarks of the Sentencing Guidelines that is sometimes overlooked or not as carefully understood. Monitoring and auditing is sometimes reduced to reporting, but it is so much more. To guide us on the journey, Eric reviews the language and notes in the Sentencing Guidelines themselves and discusses… The post What is Monitoring and Auditing in an Effective Compliance and Ethics Program? appeared first on Compliance Beat.

This week we celebrate our 100th episode of Compliance Beat! Thanks to everyone who has been a loyal listener. Instead of sending presents to us, we present a listener-requested topic, some practical discussions on how to prepare and put together manager-led communications — sometimes called manager toolkits. As always, please subscribe to the podcast if… The post Our 100th Episode! And Manager Compliance Communication Support appeared first on Compliance Beat.

Join us for Part II of a special interview with Roy Snell. Roy is our first guest to appear twice and he has graciously joined us again just as he is leaving his role as the CEO of the HCCA and the SCCE. In this episode Eric and Roy talk a little about the present… The post Roy Snell Interview, Part II appeared first on Compliance Beat.

This time Eric has a very special guest, and our first guest to appear twice, Roy Snell. Roy was on the 2nd Episode of Compliance Beat back in 2016 and he has graciously joined us again just as he is leaving his role as the CEO of the HCCA and the SCCE. In this episode… The post Roy Snell Interview, Part I & Three Components to Board Training appeared first on Compliance Beat.