What do the Sentencing Guidelines say about training? & Three Questions with David Searle

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Keep your training effective, periodic and practical. Periodic doesn’t mean once and it’s done, it means periodic. Practical means testing to ensure that the program is working. And finally, use consistent and interesting training to ensure effectiveness.

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“Do we need to invest in an anti-corruption program?” & Three Questions with Douglas Veivia

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While anti-corruption is a very serious risk it is one with very low likelihood for many organizations. Every organization needs to understand their own particular risks. By doing that you will know if you need to have an anti-corruption program.

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“Should you market the ethics & compliance culture of your organization?” & Three Questions with Erica Salmon Byrne

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If you’re going to market your program’s success either internally or externally be prepared for some scrutiny, be prepared to support that the organization meets “best practices” and most importantly be prepared to continue on the long hard slog to keep the program up to snuff.

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“Why is the United States Sentencing Commission involved in compliance and ethics?” & Three Questions with Tom Fox

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  This is part of a continuing series called Sentencing Commission Confidential. Let’s take a look at the history and operation of the sentencing guidelines and in particular chapter 8 of the sentencing guidelines that have to do with organizations. Let’s go back in time to 1984, this was before the United States Sentencing Commission.…

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“What is the best defense against a Whistleblower?” & Three Questions with Dick Dube

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If you want to avoid having a whistleblower you need to focus on your culture. Invest in middle management and understand the perception of retaliation in your organization these three things overlap and there are vitally important to keeping people reporting inside your organization.

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“What does a foundation mean?” & Three Questions with Nicole Tarasoff

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The Code of Conduct is the Foundation Why does the Department of Justice and the SEC call the Code of Conduct the foundation of an effective compliance and ethics program? This question is something that has come up often over the last few years and this terminology— the foundation has become a buzzword. Let’s take a…

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SCCE Conference Highlights-Special Edition

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The SCCE Compliance and Ethics Institute Conference in Chicago on September 24-27, 2016 is the stage for this podcast. Eric Morehead, host of Compliance Beat was in attendance, along with 1700 compliance professionals and shares conference highlights and emerging trends in this Special Edition.

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“Do I always have to be the one that says No?” & Three Questions with Richard Bistrong

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Do you have to be the person that says “no”? Compliance officers often struggle with the push and pull of keeping the lines of communication open and also having to deliver difficult answers to their stakeholders. What are some strategies for avoiding being known as the person who always says “no”? We discuss some ideas…

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“Does the DOJ require an independent compliance officer?” & Three Questions with Bill Brown

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The USDOJ has required an independent compliance function in some recent corporate settlements, but is this the official position of the Department? We discuss the the intersection of these recent developments, the US Federal Sentencing Guidelines and how this might relate to whether your compliance officer has the necessary independence to craft and maintain a…

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“Do we need a compliance committee?” & Three Questions with Adam Turteltaub

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A compliance committee can be a powerful component of an compliance and ethics program. Forming one, however, leads to many questions. Who needs to be on it? How do you determine the committee’s purpose? What should the scope of their involvement be in the overall compliance and ethics program. Leveraging the talent you have inside…

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