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We all have heard the problem: Employees want to report their concerns directly to their immediate supervisors (unless the problem relates to the immediate supervisor); Mid-level managers complain that they do not know how to handle employee concerns. Thus, we have reached the fundamental disconnect in the corporate gestalt.
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Companies can become hyper-focused on anti-bribery compliance. It is easy to do – just look on the Internet, Twitter and Linked In. There are plenty of groups, hash tags, postings and discussions on anti-corruption issues. This focus on corruption reflects the reality of enforcement. But when it comes
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A Chief Compliance Officer has a direct responsibility to promote the company’s business. That sounds like a controversial statement but it is not. Every officer and employee of a company has that responsibility. A CCO has a job – to design and implement an effective ethics and compliance program to
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I never thought the day would come but it has – I have figured out a way to make Abbott and Costello relevant to the compliance profession. We all know their famous routine – “Who’s on First?” If you need a good laugh, check it out HERE. When it comes to
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A comprehensive approach to third party and vendor due diligence management is essential for any company conducting business globally. A strong due diligence program's purpose is two-fold: To guide your company, helping you make smart choices when it comes to international business partners, and To protect your
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“Action speaks louder than words but not nearly as often” – Mark Twain If you are too busy to read my posting, all I ask is that you read the Mark Twain quote and apply the message to creating an ethical culture. As I always say, Mark Twain would have been
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There is nothing more infuriating in the ethics and compliance world than a Chief Compliance Officer who relies on Happy Talk reports to senior managers and the Board. The CCO who engages in Happy Talk does a disservice to the profession and to themselves. So why are companies still not
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A nickel ain’t worth a dime anymore. – Yogi Berra With all the hubbub about ethics and compliance, senior managers somehow are able to escape any focus or responsibility for compliance programs except in a managerial context. Senior managers need to be held accountable for their own personal ethics and
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Compliance professionals love to bandy about the term “red flag.” It is a term with infinite meanings depending on the context. A red flag in a money-laundering context is different than a red flag in a corruption context. I like to say – not all red flags are created equal.
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Companies are reluctant to go to trial in a criminal case. Instead, they look for alternatives short of a criminal guilty plea and DOJ has a suitcase full of options that they use. Please do not misunderstand my point – DOJ prosecutors are doing their job and they apply the law
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Welcome!! I hope you like the new Corruption, Crime and Compliance website. I know how important it is to stay fresh on the Internet, and my hope was to provide an updated look, with some new features. One thing you will notice (hopefully) is that we have added access to
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The Antitrust Division is nearing the end of its largest, record-setting criminal cartel investigation – global auto parts suppliers. It has been a sprawling investigation that has leaped from product-to-product in the auto parts industry. Nearly thirty companies have plead guilty (or agreed to do so) and over