Do Small Organizations Really Have Compliance Risk Exposure?

| | 0 Comments
ITUNES COVER

This time we tackle several common misconceptions about regulatory and criminal risks for smaller and growing organizations. We’ll talk about what the Sentencing Commission statistics for organizations really show (www.ussc.gov) and how smaller and growing organizations really ought to be more mindful of the risks they face. Also, join us for TWO upcoming webinars on…

Read more

Corporate Values and Your Code of Conduct

| | 0 Comments
podcast_channel_artwork.png

This time we talk about how you can evaluate how (or if) to use your organization’s values in your code. First, we talk about the current use of the values and how that might help, or hinder, their use in the code. Second, we talk about two different ways you can leverage your organization’s values…

Listen to this episode
Read more

Has The Compliance Officer’s Role Changed in 2018?

| | 0 Comments
podcast_channel_artwork.png

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…

Listen to this episode
Read more

Three Compliance Topics for Managers To Communicate

| | 0 Comments
podcast_channel_artwork.png

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…

Listen to this episode
Read more

How Do You Benchmark Your Code of Conduct?

| | 0 Comments
featuredimageplaceholder-02

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…

Listen to this episode
Read more

Do Regulators Still Care About Compliance?

| | 0 Comments
featuredimageplaceholder-02

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…

Listen to this episode
Read more

What Makes an Effective Conflicts of Interest Compliance Program?

| | 0 Comments
podcast_channel_artwork.png

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…

Listen to this episode
Read more

What Does Monitoring Mean in a Compliance and Ethics Program?

| | 0 Comments
ericblackandwhitewithbeat

This week Eric tackles what “monitoring” means in the context of a compliance and ethics program. We break it down into three main concepts. First, applying a “risk-based” process to monitoring means understanding your risks, applying those controls you have (including monitoring) and then evaluating those controls for effectiveness. Second, Eric spends a little time…

Listen to this episode
Read more

What is a Risk-Based Compliance Training Program?

| | 0 Comments
podcast_channel_artwork.png

This time Eric discusses what makes a “risk-based” training program. Many organizations are in the thick of getting ready to roll out their training this spring, and it’s a good time to consider what you do to train your stakeholders on compliance risks. We talk about the February 2017 Evaluation of Corporate Compliance Programs memo…

Listen to this episode
Read more

Three Things to Consider Regarding Compliance and Crisis Events

| | 0 Comments
ericblackandwhitewithbeat

Eric, like a lot of people in the USA this Spring, is getting over a unexpected bout of the flu. It got him thinking about compliance during crisis events and how compliance interacts with business continuity planning. We spend some time talking about some ways compliance should be involved. Apologies for the poor sound quality…

Listen to this episode
Read more