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Compliance is a critical function for a public company. While it can be viewed as simply a “cost of doing business” perhaps it is better considered as a critical business component, helping create a market place brand of a fair and ethical...

Once viewed as a luxury reserved for only the largest hedge funds, compliance technology has entered the mainstream. The complexity of reporting obligations, combined with the expanded number of hedge fund investment advisers that are now registered with...

Think about transparency for a moment. As a property of physical objects, it is easy to define and understand. According to Merriam-Webster, for example, it’s the result of light that is transmitted “without appreciable scattering so that...

Every year there are new or enhanced compliance requirements for processing payments. The biggest challenge is knowing when you have satisfied all of the appropriate requirements for all of the regulations. In addition to complying with the NACHA Operating...

I have long been an advocate of the compliance function working with the Human Resources (HR) function in any company to help achieve greater compliance under anti-corruption laws such as the Foreign Corrupt Practices Act (FCPA) and UK Bribery Act...

Last week I attended the Society for Corporate Compliance and Ethics (SCCE) Energy and Utilities Conference here in Houston. As usual, SCCE put on a great event, the speakers and topics were all first-rate. As you might expect at such an event, the informal...

This coming Saturday, June 28th, is the 100 th anniversary of most probably the single most momentous event of the 20 th century; the assassination of Archduke Ferdinand and his wife Sophie in Sarajevo, then located in the Austro-Hungarian Empire. I view...

The role of the chief compliance officer is the talk of the Securities and Exchange Commission these days – or at least some of its Commissioners. Those who are speaking for the record agree that the role of the CCO is important. Those who are speaking...

The Board of Directors role in the Volkswagen (VW) emissions test scandal is one that is only now being scrutinized. In an article in the New York Times (NYT), entitled “ Problems at VW Start at the Boardroom ”, James B. Stewart was unremitting...

I am reviewing the importance of a Code of Conduct and anti-corruption compliance policies and procedures in your compliance program and how you should go about drafting or updating Code of Conduct and anti-corruption compliance policies and procedures...

I am reviewing the importance of a Code of Conduct and anti-corruption compliance policies and procedures in your compliance program and how you should go about drafting or updating Code of Conduct and anti-corruption compliance policies and procedures...

To conclude this week’s posts, I wanted to list some of the more prevalent social media tools, explain what they are and how you might use them in a compliance program. (As usual I got carried away so this series will conclude on Monday of next...

On this day in 1936 King Edward VIII became the first English monarch to voluntarily abdicate the throne. He chose to abdicate after the British government, public and the Church of England condemned his decision to marry the American divorcée...

I continue my series on why I believe that compliance is at the ‘Tipping Point’ with a discussion of the Volkswagen (VW) emissions-testing scandal and its effect on the greater compliance world. Myself and many other commentators have written...

I recently completed a course from The Teaching Company, entitled “ Understanding the World’s Greatest Structures: Science and Innovation from Antiquity to Modernity ”, taught by Professor Stephen Ressler. It was a wonderful learning...