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Jessica Tillipman Senior Editor

Elizabeth K. Spahn Editor Emeritus

Cody Worthington Contributing Editor

Julie DiMauro Contributing Editor

Thomas Fox Contributing Editor

Marc Alain Bohn Contributing Editor

Bill Waite Contributing Editor

Shruti J. Shah Contributing Editor

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Richard Bistrong Contributing Editor 

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Entries in Effective Compliance Program (122)

Monday
Apr102017

Bethany Hipp: Experienced compliance professionals are a good investment

In the frenzy of upsizing, downsizing and rightsizing compliance programs after downturns in the market or in the midst or aftermath of a major investigation, it’s important to keep in mind that experienced lawyers and compliance professionals bring significant value to a company.

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Monday
Mar132017

Randy Stephens: Questions prosecutors ask about compliance programs

The Justice Department's new guidance about how it will evaluate corporate compliance programs takes the form of questions its prosecutors would typically ask about a corporate compliance program during an investigation.

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Tuesday
Jun072016

Julie DiMauro: Best practices for today's CCO

Let's start this discussion with: Know the business.

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Thursday
Apr072016

The DOJ Pilot Program: Financial considerations for both companies and their executives

The DOJ Fraud Section’s recently released FCPA Enforcement Plan and Guidance outlines a novel one-year pilot program for corporate self-reporting and cooperation, with specific fine reduction incentives.

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Tuesday
Apr052016

DOJ launches FCPA self-reporting pilot program with new guidance

Assistant Attorney General Leslie R. CaldwellAssistant Attorney General Leslie Caldwell announced a one-year pilot program Tuesday intended to encourage companies to self report FCPA offenses and cooperate with the Justice Department.

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Thursday
Jan142016

Brooke Hopkins: But is your compliance program scalable? 

The DOJ and SEC haven't used the word "scalable" to describe an effective compliance program. But they've described scalability when talking about what's needed.

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Monday
Nov022015

Mike Scher: Compliance officers are executives and subject matter experts

It was a relief to read in a recent post on the FCPA Blog that compliance officers aren't crazy, but are in a tough job, always caught between flawed human nature and meeting the ideals of effective management and business integrity.

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Wednesday
Oct282015

Are compliance officers crazy?

The verdict of history is unanimous: human beings can find trouble anywhere, and always do. We're geniuses when it comes to messing things up.

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Monday
Aug242015

How to hire a princeling: Six rules anyone can follow

Last week BNY Mellon agreed to pay the SEC $14.8 million to settle charges that it violated the Foreign Corrupt Practices Act by awarding student internships to kids of officials connected with a sovereign wealth fund in the Middle East.

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Thursday
Aug132015

Mike Scher: Scapegoats are out, compliance badasses are in

It's time for the compliance community to be hopeful. In the same month, the DOJ announced it was hiring a compliance expert to help make charging decisions, and an administrative law judge refused to allow the SEC to sanction a former Wells Fargo Advisors compliance officer because doing so would make her a scapegoat.

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Wednesday
Aug052015

Report: DOJ hires expert to evaluate target company compliance programs

There were reports last week that the DOJ is hiring a compliance expert. He or she will help evaluate whether to charge corporations that fail to detect and prevent wrongdoing by employees.

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Wednesday
Jun172015

Hey, in-house lawyers have an ethics role too

For us lawyers who practice in-house, we've witnessed through the years a huge change in the field of corporate governance -- the system by which a company is managed and controlled.

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