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Has The Compliance Officer’s Role Changed in 2018?

Has the role changed? Eric thinks it’s a definite yes and discusses three ways this week. First, expectations from stakeholders from the BOD on down are different today. Demands on the compliance function, and expected results, are far greater than they were. Second, the need to divorce any lingering corporate legal duty from some of the important functions of compliance is greater than ever before. We may not be able to serve two masters at all times. Third, along with those challenging expectations comes a higher profile — use it wisely.

Three Compliance Topics for Managers To Communicate

This week we discuss three important topics for manager’s to discuss with their reports. What are some essential messages for manager’s to discuss? What topics sometimes get overlooked? Why are manager’s so important to the compliance communication process?

Eric discusses all of these topics this week and focuses on the type of dialogue you should be shooting for in these conversations between managers and their reports about compliance issues.

We are participating in another FREE webinar with our friends at SAI Global. On April 18th at 1PM Central join us (and get 1.2 hours for your CCEP!) as we discuss “The Relationship Between Ethics and Compliance in Business” with Dean Timothy Glynn from Seton Hall University Law School. You can register (for Free!) here.

How Do You Benchmark Your Code of Conduct?

This week Eric addresses a common question: how do you benchmark a code of conduct?

Eric focuses on three key areas to have a more successful benchmarking project. First, we talk about how you want to include peer codes outside your organization’s industry. Second, Eric discusses the fact that you don’t need to find “all things” in each code in your review. Find aspects you like in several codes, whether that’s content, design, language use, navigation. Find what you like, and include it. Lastly, we discuss how you need to include the team. Have a cross-functional and diverse group involved in the process to make sure you get some broad opinions and input.

We are participating in another FREE webinar with our friends at SAI Global. On April 18th at 1PM Central join us (and get 1.2 hours for your CCEP!) as we discuss “The Relationship Between Ethics and Compliance in Business” with Dean Timothy Glynn from Seton Hall University Law School. You can register (for Free!) here.

Do Regulators Still Care About Compliance?

Since 2016 we have heard this question frequently. The popular media, particular in the United States, has championed the idea that “regulation” is disappearing. But, in the context of compliance expectations, is that really true? Eric takes a look at three different reasons why that might not really be the case. In these days when regulator expectations regarding compliance are still high, and popular notions about compliance may be sinking, it’s important for those who are responsible for compliance to have a handle on these issues and be ready to answer these questions.

Eric also would like for you to join us March 28th at 11AM ET for a new FREE webinar “You Did What? U.S. Department of Justice Expectations for Ethics and Compliance Programs in 2018“. Approved for 1.2 CCB CEU’s for those of you with the CCEP.

What Makes an Effective Conflicts of Interest Compliance Program?

This time Eric talks about three aspects of an effective response to conflicts of interest. First, we discuss written standards and how a code of conduct and other materials can interplay effectively to provide helpful resources on conflicts. Second, Eric discusses disclosures, the piece of the puzzle that many organizations still do not include in their program. Eric discusses a little on how to deploy a disclosure process and what content questionnaires should include. Finally, we discuss generally what you’ll want to cover with training and communication.

Eric also mentions a new FREE webinar that we will be having with SAI Global later this month. It’s titled “You Did What? U.S. Department of Justice Expectations for Ethics and Compliance Programs in 2018” and you can register for it here.