Three Compliance Topics for Managers To Communicate

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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…

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How Do You Benchmark Your Code of Conduct?

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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…

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Do Regulators Still Care About Compliance?

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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…

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What Makes an Effective Conflicts of Interest Compliance Program?

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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…

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What Does Monitoring Mean in a Compliance and Ethics Program?

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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…

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What is a Risk-Based Compliance Training Program?

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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…

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Three Things to Consider Regarding Compliance and Crisis Events

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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…

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What Makes a Good Written Compliance Policy?

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This time we focus on the next horizon for “effective” written standards: the stand-alone compliance policy. While many organizations have tackled their code of conduct, written policies still woefully suffer from some of the same ailments we’ve cured in our codes. Eric takes time to talk about the differences between a code project and getting…

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Compliance Training Trends with Brian Oderkirk

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This week we have a conversation with Brian Oderkirk from Edgepoint Learning about compliance training trends on the horizon. Brian has been in the eLearning and training space for about twenty years and has done just about every role in the space and working from everywhere from higher education, to corporate training and training vendors.…

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Three Things To Consider About Creative Compliance Communication

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It’s that time of the year when compliance professionals are dusting off their annual plans for the program. That nearly always includes planning for training, but less often does it include detailed plans for communications. In this episode Eric talks about the US Sentencing Guideline standards and expectations regarding communication and then he provides three…

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