Compliance Beat

This week Eric tackles what “monitoring” means in the context of a compliance and ethics program. We break it down into three main concepts. First, applying a “risk-based” process to monitoring means understanding your risks, applying those controls you have (including monitoring) and then evaluating those controls for effectiveness. Second, Eric spends a little time… The post What Does Monitoring Mean in a Compliance and Ethics Program? appeared first on Compliance Beat.

This time Eric discusses what makes a “risk-based” training program. Many organizations are in the thick of getting ready to roll out their training this spring, and it’s a good time to consider what you do to train your stakeholders on compliance risks. We talk about the February 2017 Evaluation of Corporate Compliance Programs memo… The post What is a Risk-Based Compliance Training Program? appeared first on Compliance Beat.

Eric, like a lot of people in the USA this Spring, is getting over a unexpected bout of the flu. It got him thinking about compliance during crisis events and how compliance interacts with business continuity planning. We spend some time talking about some ways compliance should be involved. Apologies for the poor sound quality… The post Three Things to Consider Regarding Compliance and Crisis Events appeared first on Compliance Beat.

This time we focus on the next horizon for “effective” written standards: the stand-alone compliance policy. While many organizations have tackled their code of conduct, written policies still woefully suffer from some of the same ailments we’ve cured in our codes. Eric takes time to talk about the differences between a code project and getting… The post What Makes a Good Written Compliance Policy? appeared first on Compliance Beat.

This week we have a conversation with Brian Oderkirk from Edgepoint Learning about compliance training trends on the horizon. Brian has been in the eLearning and training space for about twenty years and has done just about every role in the space and working from everywhere from higher education, to corporate training and training vendors.… The post Compliance Training Trends with Brian Oderkirk appeared first on Compliance Beat.

It’s that time of the year when compliance professionals are dusting off their annual plans for the program. That nearly always includes planning for training, but less often does it include detailed plans for communications. In this episode Eric talks about the US Sentencing Guideline standards and expectations regarding communication and then he provides three… The post Three Things To Consider About Creative Compliance Communication appeared first on Compliance Beat.

Today Eric talks about three common areas he has seen clients experience issues when they undertake to update their code of conduct. First, Eric discusses getting the appropriate buy-in from all the applicable stakeholders. Involving the team and making sure everyone shares the appropriate vision is critical and failure can sometimes derail a project. Next… The post Three Code of Conduct Project Pain Points appeared first on Compliance Beat.

This week Eric speaks to a Top Ten list, if you will, of topics to consider regarding the upcoming implementation of the EU’s new General Data Protection Regulation (GDPR). As with most compliance issues, small and medium sized organizations are likely to be the ones that are least prepared for this change, and a recent… The post 10 Things To Know About the EU General Data Protection Regulation (GDPR) appeared first on Compliance Beat.

After finishing another year we now embark on 2018 — and another yearly edition of trend predictions. In this episode Eric talks about a couple of key compliance risk topics that organizations will want to think about as they plan out their new year, including some significant changes that will be happening soon. We also… The post The Road Ahead: 2018 Compliance Trends appeared first on Compliance Beat.

We are very, very pleased to conclude our special discussion about some very interesting new research and data about managers and ethics this week. If you have not yet listened to PART I, we suggest you do. We will be interviewing the principal authors of a new article just published in October, titled “Middle Managers… The post In The Middle of It All: New Research on Middle Managers and Ethical Behavior, Part 2 of 2 appeared first on Compliance Beat.

We are very, very pleased to have a special discussion over the next two weeks about some very interesting new research and data about managers and ethics. We will be interviewing the principal authors of a new article just published in October, titled “Middle Managers and Corruptive Routine Translation: The Social Production of Deceptive Performance”.… The post In The Middle of It All: New Research on Middle Managers and Ethical Behavior, Part I of 2 appeared first on Compliance Beat.

Closing the loop on some trends we thought might be important back in January of 2017. First, we all had (and still have) deregulation on our minds. So far, while there has been a lot of discussion about the possible effects of deregulation, it’s fair to say that compliance issues are still being driven by… The post Revisiting Our 2017 Trend Predictions appeared first on Compliance Beat.

What does the Deputy Attorney General’s recent comments about various Department memorandum and informal statements mean for compliance and ethics. For more information on the DAG’s October statement, you can review this excellent commentary. The statement suggests that many of the DOJ memos discussing corporate prosecutions we are familiar with may be consolidated (or revoked).… The post Recent US Department of Justice Commentary and the Impact on Compliance appeared first on Compliance Beat.

This time Eric reflects on the annual SCCE Compliance and Ethics Institute in Las Vegas. While there are certainly other compliance and ethics events, the size and scope of the CEI is impressive and we noted three themes this year that apply not to just CEI, but the profession in general. First, growth — and… The post Reflecting on the SCCE’s Compliance and Ethics Institute appeared first on Compliance Beat.

Today Eric talks about third-party risks and some ideas for every organization to think about when thinking about third-party risk. First, we encourage everyone to think outside the box and contemplate the actual third-party risks that their specific organization faces. We often think third-party risk just applies to organizations that operate overseas or have anti-corruption risks. Third-party risks are much broader and organizations should take time to consider it. Second, Eric talks about how third parties are the "perfect storm" for risk. It's hard to imagine any organization these days that doesn't have third-party risk. Additionally, we talk a little about how third parties are logistically hard to monitor. Eric points out that despite these difficulties, organizations are liable for the actions taken on their behalf. Third, there is a way to reasonable manage the risk organizations of all sizes and types face from third parties. Have a plan. Be consistent. Apply your limited resources based on a risk

This time Eric talks about three practical areas to consider when evaluating and developing “tone from the top” at your organization. First, we examine what the expectations should be for the CEO or top executive of the organization. The CEO should be “present” in a real way and this can be measured by both the… The post Tone From the Top appeared first on Compliance Beat.

This week, we prepare to go to the annual SCCE CEI in Las Vegas. Recent events make the trip more somber, but we look forward to seeing old friends and meeting new ones. Eric speaks with SCCE's Adam Turteltaub to discuss what's new this year at the Compliance and Ethics Institute and some of the thought that goes into planning and organizing the annual event. Eric also talks a little about the concept of "right action" and moving forward with your goals despite conflict. It was a year ago that we launched Compliance Beat as we were preparing for the Institute. A big thank you to everyone out there that listens to us weekly. We hope to continue to provide interesting and useful content on compliance and ethics for years to come. The post Compliance & Ethics Institute Preview with SCCE’s Adam Turteltaub appeared first on Compliance Beat.

What is the “bare minimum” an organization needs to have an effective compliance program?  Today we have part II of our discussion of what minimum requirements for an effective compliance and ethics program might be. Eric talks a little about the focus on organizational guidelines versus the Sentencing Guidelines as a whole. Eric also talks… The post What’s the ‘Bare Minimum’ Needed for Compliance? Part II appeared first on Compliance Beat.

What is the “bare minimum” an organization needs to have an effective compliance program?  Is that even the right question?  Eric talks about a common inquiry that people often have about the “Seven Hallmarks” of the Sentencing Guidelines, and that is: what must we do? In Part I of a two-part series, Eric talks about… The post What’s the ‘Bare Minimum’ Needed for Compliance? Part I appeared first on Compliance Beat.

Your board of directors must stay informed about their compliance duties and stay engaged in your compliance and ethics program to fulfill their obligations as board members.  Training your board of directors is a key responsibility for compliance professionals.  At times, training your board of directors can be a real challenge. In this second part of… The post Effective Board of Directors Training, Part II appeared first on Compliance Beat.