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Happy 4th of July!
On behalf of the Volkov Law Group and Corruption, Crime & Compliance, I want to wish everyone, friends and families a wonderful 4th of July holiday!! Today we recognize the wisdom and forethought of our Founders!
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Cryptocurrency Compliance: The Importance of Internal Investigations
Matt Stankiewicz, Senior Associate at The Volkov Law Group, rejoins us for another posting on cryptocurrency compliance. Matt can be reached at mstankiewicz@volkovlaw.com. For those still new to the sector, Coinbase has established itself as one of (if not the) most prominent cryptocurrency exchanges operating in the U.
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Karin Sweigart Joins The Volkov Law Group
I am excited to announce the addition of Karin Sweigart as a new Senior Associate at The Volkov Law Group. When I launched the firm, I was committed to providing high-quality ethics and compliance, and enforcement defense services. With the help of my existing members we have been fortunate
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Leadership and Compassion
In these turbulent times in our country, there is a premium on the concepts of empathy and compassion. A successful leader in any organization has to demonstrate his or her ability to feel compassion. In any relationship, a person has to have the ability to see the issues or a
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Is Your Compliance Program Adrift?
A compliance program is a continuously evolving process. The lifeblood of a compliance program is its ability to refresh itself, to incorporate new information and data, and adjust to meet new challenges. The culture and compliance loop requires discipline – a company refreshes its risk assessment, designs and implement new policies
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The Culture Bandwagon -- SEC Chairman Joins the Club
Maybe I am missing something, but everyone is jumping on the culture bandwagon. Regulators like to speak about it; prosecutors like to emphasize it – everyone likes to talk about it as a way to encourage corporate leaders to commit to promoting an ethical culture. Let’s face it – talking about
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When Your CEO Just Does Not Get It
There are a lot of talented CEOs. Some remarkable leaders, innovators and eloquent spokespeople for their companies. In several recent experiences, I have been befuddled by some CEOs. When a CEO addresses a global ethics and compliance staff or has the opportunity to address a large staff or division meeting,
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Welcome! You Are the New Chief Compliance Officer: Five Basic Steps to Get Started
Congratulations on your new position as the chief compliance officer. You successfully interviewed with the company, met the senior executive team and the audit committee chair, and negotiated a nice compensation package. You are feeling “pretty, pretty good" (ala Larry David) about your new job and looking forward to
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The Pernicious Effect of Conflicts of Interest
Lawyers know about conflicts of interest. They face significant risks when handling clients and have to scrupulously follow principles surrounding conflict of interest. The two categories of conflicts of interest are defined as “appearance of a conflict,” and an “actual conflict.” Both can undermine the independence of an attorney who
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The Shoe Drops on Theranos’ Former CEO and COO – Criminal Indictment Filed Charging Fraud
Sometimes a fraudster is just a fraudster – they are dangerous because they can manipulate without remorse or conscience. The rise and fall of Elizabeth Holmes and Theranos is a classic story of a manipulative CEO engaged in nothing more than a classic fraud. Holmes was once the Silicon Valley star
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New Episode Everything Compliance -- Four of a Kind Edition
Tom Fox, Matt Kelly, Jonathan Armstrong, Jay Rosen and myself recently recorded a new episode of Everything Compliance -- Four of a Kind Edition. You can listen to it here. Everything Compliance is the only roundtable podcast in compliance, with four of the top compliance practitioners around. This week the gang
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New NAVEX Global White Paper -- How to Develop the Business Case for a Third-Party Risk Management System
I am pleased to announce the release by NAVEX Global of a new white paper that I authored -- How to Develop the Business Case for a Third-Party Risk Management System. Download the white paper HERE. This comprehensive white paper helps you make an educated case to senior management and