Sunday’s Dilbert on financial reports, trusted advisors, and Ponzi schemes. Read more »
Category: Compliance Programs
Workplace Challenges of Pandemics
The reality of an influenza pandemic has now reached the American workplace. The Swine Flu H1N1 Influenza seems to have been overblown and is now ebbing. There were only two confirmed deaths. It appears that H1N1 is neither particularly contagious or deadly. In comparison, the H5N1 virus (the Avian Flu) is very deadly with an … Read more »
Corporate Compliance & Ethics Week at The Home Depot
Crystal M. Consonery, PhD, CCEP shared the experiences of Home Depot during the 2008 Corporate Compliance & Ethics Week. The goal was increasing awareness of the Corporate Compliance department. So they decided to use Corporate Compliance & Ethics Week to launch their departmental awareness and branding. One of Home Depot’s eight core values is “Doing … Read more »
This Week is Corporate Compliance & Ethics Week
The Society of Corporate Compliance & Ethics is promoting the week of May 3-9, 2009 as Corporate Compliance & Ethics Week. Read more »
Swine Flu, Disaster Recovery, and Compliance
One aspect of a compliance program is disaster recovery. Investors want to know that your operations can be up and running if something goes wrong. Although first thoughts go to an extraordinary event like the World Trade Center attacks, the problem is more likely to be something less dramatic. From today’s headlines, it may be … Read more »
Moral Hazard and Structural Compliance
I have been tossing around the concept of structural compliance in my head. The idea is to focus on the alignment of employee incentives with the long term goals of the organization. Jeff Kaplan forwarded me an article he wrote for the April 2009 issue of CCH’s Federal Ethics Report: Boards of Directors, Moral Hazard … Read more »
SEC Enforcement Update: A Wounded Animal is a Dangerous Animal
Securities Docket presented this webcast with Michael MacPhail, of Holland & Hart LLP and Patrick Hunnius of White & Case LLP. “In a sharp detour from the era of Chairman Christopher Cox, the SEC under new Chairman Mary Shapiro’s leadership has obtained big budget increases that will be used to increase the number of enforcement … Read more »
Red Book 2.0 Released by OCEG with the GRC Capability Model
The Open Compliance and Ethics Group has released the second version of its Red Book about compliance models. OCEG’s Red Book 2.0 provides a guide for implementing and managing a GRC system or aspect of that system. That means Governance, Risk, and Compliance. Red Book 1, which came out in 2005, focused on “getting the … Read more »
Breaking Down Compliance Silos: The Cost-Effective Approach to Managing Compliance
Michael Rasmussen, President of Corporate Integrity, Julian Parkin, Group Privacy Programme Director at Barclays, and John Kelly, Director at OpenPages, spoke in a webinar on taking a strategic approach to managing compliance. The webinar was sponsored by Compliance Week. These are my notes. Michael set the stage by asking: Does your organization walk its talk? … Read more »
Compliance Policies and Email
You should take a look at your computer use and email policies to see how they address three recent cases involving email in the workplace. The first case involves unauthorized acces: (Van Alstyne v. Electronic Scriptorium, Inc.). The president of the company had broken into an employee’s personal AOL email account. The employee had occasionally … Read more »