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Emerging International Indicators for Compliance Function Expectations

Global trends on risk management help foreshadow what may come to be expected of compliance functions in an increasing number of jurisdictions, particularly in respect of positioning, resources, and authority. Gabe Shawn Varges, Head of Governance at FINMA, the Swiss combined regulator for banking, insurance...

Free Webinar: Understanding the Risks of Operating in a Global Market

Moderator(s): Paul J. McNulty, Stephen Martin, Patrick Thesing Today's challenging legal and regulatory environment has made it absolutely essential to establish an effective global compliance program. This need is fueled by the increased expectations and scrutiny of corporate compliance practices...

Frequently Asked Questions on the FCPA and Bribery Act-a New Book Answers Them

Many Chief Compliance Officers (CCO's), General Counsels (GC's) and others in the compliance area, say that there is often too much information widely available on compliance. It makes it sometimes difficult to sort through it all to find out the specific answers to specific questions that are...

What Are the Essential Elements of a Corporate Compliance Program?

Can you synthesize and reconcile the world's leading laws, regulations and commentaries on the best practices an anti-bribery and anti-corruption compliance program? I recently saw one such approach by Paul McNulty and Stephen Martin of the law firm, Baker and McKenzie. They have developed what they...

Sherlock Holmes and Innovation in the Compliance Function, Part I – A Study In Scarlet

Today begins a week of double themed blog-posts. First I am back with an homage to Sherlock Holmes, for it was in the magazine Beeton’s Christmas Annual that the characters Sherlock Holmes and Watson were introduced to the world in 1887, in the short story A Study in Scarlet . The second theme...

Sherlock Holmes and Innovation in the Compliance Function, Part II – The Sign of Four

Today we honor Conan Doyle’s second Sherlock Homes novel, The Sign of Four. The novel was published in 1890 but the story is set in 1888. The story entails a complex plot involving service in East India Company, India, the Indian Rebellion of 1857, a stolen treasure, and a secret pact among four...

Sherlock Holmes and Innovation in the Compliance Function – Part IV, The Valley of Fear

Today I conclude my dual-themed week of blog posts featuring Conan Doyle’s four Sherlock Holmes novels and innovation in the compliance function. As the compliance profession matures and we move into what I call the era of CCO 2.0. Today we celebrate Doyle’s final novel, The Valley of Fear...

Revisiting the Raven and Visiting Foreign Subsidiaries

Today we celebrate the birth of one of America’s most iconic authors, Edgar Allen Poe, who was born on this day in Boston, Massachusetts. Anyone who reads or watches a mystery show on television owes a debt to Poe for inventing the genre. Poe flunked out of West Point but later became an editor...

Farewell to Mr. Spock and Risk Assessment Under COSO

Leonard Nimoy died last Friday. He will be forever associated with the role of Mr. Spock in the original Star Trek television show which premiered in 1966. The original series ran for only three years but had a full life in syndication up through this day. He also reprised the role in six movies featuring...