Small Businesses and Compliance

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An important topic that we don’t talk enough about. Just as small businesses make up the vast majority of companies out there, and employ over 50% of the workforce in the USA, they also make up the majority of companies that get in the worst trouble for compliance failures — even though we rarely read…

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Benchmarking Your Code or Written Compliance Standards

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This time we discuss benchmarking. First we discuss how you might go about determining the peer codes of conduct (or other written compliance standards) that you can use for benchmarking purposes. You probably have a good idea of some peer organizations that might fit, but Eric also discusses some other thoughts about what gets put…

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Three Questions to Ask Before You Launch a Compliance Survey

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This time Eric talks about compliance surveys. Eric discusses what sort of content you might consider including in the survey instrument, whether you might want to consider benchmarking, and finally Eric discusses some of the practical elements of putting together a survey.

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Strategies for Reaching Remote Workers

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This time Eric talks about three different areas to focus on when evaluating how you are reaching your remote workers to educate and inform them of the compliance program. Eric discusses use of local and existing resources, what resources should be developed by the compliance function and how technology can be put to use. Eric…

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How Should the Board Be Involved in Compliance?

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This time Eric discusses some considerations when looking at the role, responsibilities and relationships the board (or governing authority) of the organization with the operational personnel of the compliance and ethics program. There are a few key best practices to consider when evaluating the board’s role, including their training and knowledge of their responsibilities, their…

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What Are the Legal Requirements for A Code of Conduct?

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In anticipation of our upcoming webinar on code of conduct development we talk today about what “requirements” for a code of conduct exist. Eric also provides a sneak peak into some of the content of the webinar by discussing the Department of Justice’s February 2017 memorandum and how that applies to code of conduct development.…

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How to Avoid All Compliance Risk…

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How do you avoid all compliance risk? Hint: you can’t. This week Eric talks about some recent articles and discussions that suggest there might be a magic bullet or two (sometimes in the form of a new software tool) that will take away those pesky compliance concerns. We alk about the practical and the pragmatic…

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Year-End Review, Part II: Compliance Program Trends

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Happy Holidays from Compliance Beat! This week Eric discusses a few compliance program trends from the last year in the second of a two-part series here as we end 2018. This time Eric discusses leveraging opportunities, being part of the deal team and gaining better access to the board. We have another upcoming webinar with…

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Year-End Review, Part I: Compliance Program Trends

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Happy Holidays from Compliance Beat! This week Eric discusses a few compliance program trends from the last year in the first of a two-part series here as we end 2018. This time Eric discusses interesting developments in communications, data use and proactive risk assessment. We have another upcoming webinar with our friends as the Clear…

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Planning for Compliance Failures

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We all want a compliance program that prevents and detects compliance failures before they happen. That is usually not what happens. Even the best programs and the best corporate cultures occasionally will face issues of misconduct. It is important for organizations to spend some time thinking about and preparing for that eventuality. In this episode,…

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