Three Elements in a Culture of Compliance: Part I

By |2026-03-10T12:38:55-06:00March 16th, 2021|Compliance Blog|

Creating a culture of Compliance - Continuous Communication Creating a Culture of Compliance can be a difficult task given the many moving pieces, but there are several benefits.  In this post, we will be considering the topic of Continuous Communication to help build a culture of compliance. A company that only deals with problems as they become obvious is setting itself up for failure, leading to a climate of putting out fires instead of preventing them. Employees are most [...]

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Compliance Training – Off-the-Shelf vs. Customized Courses

By |2021-03-17T09:07:02-06:00March 10th, 2021|Compliance Blog, Todd's Blog|

“It wasn’t in the compliance training materials.” That’s a phrase most compliance officers don’t want to hear from their colleagues or employees, especially if something they did triggered an investigation or lawsuit. Hearing something like that should raise tons of red flags, not only from a legal perspective, but also from a training viewpoint. It potentially indicates that the compliance department either failed to convey crucial information in their compliance training, or worse, failed to include it in the [...]

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Why You Need To Start Preparing Now For New EU Data Privacy Rules

By |2026-09-01T16:03:21-06:00May 10th, 2017|Blog/News, Compliance Blog, Data Privacy|

There's a new European data privacy regulation coming into full effect in May 2018 called the General Data Protection Regulation (GDPR) - will your organization be ready? The GDPR is designed to establish a single set of rules for data protection across Europe, replacing the patchwork of national data protection laws that were enacted in the 28 European Union member states under the EU Data Protection Directive. It is important to learn about this regulation now and to start preparing [...]

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Want To Travel to Cuba, or Do Business There? Read This First

By |2016-12-28T13:21:43-07:00May 31st, 2016|Compliance Blog, Culture of Compliance, Export Controls, FCPA / Anti-bribery|

With President Obama’s recent historic trip to Cuba, there has been a lot of focus on the future of the longstanding US embargo on Cuba. Obama’s trip capped off an 18 month period during which the US Government amended some of the embargo rules in an effort to begin charting a new course in US-Cuba relations. Although some of these rules have been revised to allow certain types of interactions between the US and Cuba, these opportunities are fairly limited [...]

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FCPA Comments by Andrew Ceresney

By |2016-12-28T13:21:43-07:00November 25th, 2014|Compliance Blog|

Andrew Ceresney, Director, SEC Division of Enforcement, recently spoke at the 31st International Conference on the Foreign Corrupt Practices Act. Andrew discussed the latest developments in the SEC’s FCPA enforcement. His remarks focused on four areas: Focus on Individuals Individual accountability is critical to FCPA enforcement — and imposing personal consequences on bad actors, including through bars and monetary sanctions, will continue to be a high priority for us. Importance of FCPA Compliance Programs Nothing situates a company better to avoid [...]

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FCPA Comments by Leslie Caldwell

By |2021-04-06T07:43:25-06:00November 20th, 2014|Compliance Blog|

Assistant Attorney General for the Criminal Division Leslie R. Caldwell, recently spoke at the 22nd Annual Ethics and Compliance Conference and the FCPA Conference and the 2014 FCPA Conference. There were three themes to her comments in the two speeches: Aggressive prosecutions International cooperation between countries has increased Cooperation with the DOJ is is a factor in sentencing guidlines Below are some of her highlights from her two speeches. The World Bank estimates that more than $1 trillion is paid every year [...]

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What If Compliance Training was More Like a Marketing Campaign?

By |2016-12-28T13:21:44-07:00September 16th, 2014|Code of Conduct Training, Compliance Blog, Culture of Compliance, FCPA / Anti-bribery, Todd's Blog|

Recent 'memory' research shows that students forget 70% of what we teach within 24 hours of a training event.  This is part of a concept called the 'Forgetting Curve' where over a period of given time you forget things that your brain determines as no longer useful. (Learning Solutions Magazine) That is a daunting thought if you are a compliance trainer knowing that many core compliance principles will be forgotten within 24 hours. How can you create a “Culture of Compliance” if your [...]

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A Review of Best Practices for FCPA Compliance Programs

By |2021-03-29T09:55:31-06:00August 22nd, 2014|Compliance Blog, Culture of Compliance, FCPA / Anti-bribery|

In this video webinar, Michael Volkov, CEO of The Volkov Law Group, examins FCPA compliance program best practices: Best Practice #1 - Leadership Commitment to Compliance and Ethics Best Practice #2 - Communicating Tone Throughout Organization Best Practice #3 - Governance Structure Best Practice #4 - Empowered Chief Compliance Officer (CCO) Best Practice #5 - Due Diligence of Third Parties Best Practice #6 - Risk Assessment and Management Best Practice #7 - Company Policies and Procedures Best Practice #8 - [...]

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HIPAA rules apply to business

By |2021-11-03T09:57:25-06:00September 23rd, 2013|Compliance Blog, HIPAA|

The grace period is over. While health care providers and health plans were already following the Health Insurance Portability Accountability Act (HIPAA) now, as of October 1, 2013 business associates who work with patient health information must also legally follow the rules. The Health Insurance Portability and Accountability Act of 1996, also known as HIPPA, is a federal law to protect health information about individuals. HIPAA rules govern the protection of a patient's private health information, and provides steps to [...]

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What’s your social media policy?

By |2016-12-28T13:21:45-07:00September 3rd, 2013|Compliance Blog|

Does your company have a social media policy? Does the policy explain how and when to use social media? Are employees allowed to utilize social media during working hours? A recent survey found more than 20% of companies surveyed did not have a social media policy, and almost 30% said they didn't know if their company had a policy. Social media is everywhere and touches everyone. Our thoughts and ideas may be spread around the world on blogs and social [...]

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