A trusted and efficient employee reporting mechanism (also referred to as an ethics, compliance, reporting, or whistleblower hotline or helpline) is a core component of an effective corporate ...

The Chief Compliance Officer (CCO) role is essential in building an organization that meets regulatory standards and upholds a robust ethical culture. But what should the CCO be reporting to the Board ...

The other day, I attended a panel discussion of compliance officers talking about how corporate compliance might change with the arrival of the Trump Administration. Except, we never got around to ...

The DOJ recently updated the Evaluation of Corporate Compliance Programs to direct prosecutors who are considering charges or resolutions to assess how a company addresses, among other topics, ...

Companies develop ethical codes of conduct for their businesses because they help retain employees, promote a positive work atmosphere and help burnish a company's image in the marketplace. Such ...

Will Kenton is an expert on the economy and investing laws and regulations. He previously held senior editorial roles at Investopedia and Kapitall Wire and holds a MA in Economics from The New School ...

Global compliance programs often feature codes of conduct, policies, training, hotlines, investigations, and risk assessments. While these “seven elements” are essential, they do not guarantee an ...

A lot of different methods are available to encourage compliance with company policies and regulations, but some are more effective than others. One that has worked well for GE and its customers ...

In the world of investment company compliance, one can have all of the essential elements of a great compliance program, but without the intangible ingredient of a highly-experienced and attentive ...

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This article discusses corporate compliance programs, such as artificial intelligence. "The Department of Justice (DOJ) recently updated the Evaluation of Corporate Compliance Programs (ECCP) to ...