In the previous post in the Leonardo Compliance Framework, Leonardo’s flying machines gave us Innovate, the principle that Compliance should help organizations capture the benefits of emerging technology while establishing governance…
In the previous post in the Leonardo Compliance Framework, Leonardo’s flying machines gave us Innovate, the principle that Compliance should help organizations capture the benefits of emerging technology while establishing governance…
In the first two posts in the Leonardo Compliance Framework, the Mona Lisa gave us Refine, the principle that an effective compliance program improves as the organization learns from experience. Leonardo’s anatomical…
In the first post in our Leonardo Compliance Framework, the Mona Lisa introduced Refine: the discipline of continuous improvement. An effective compliance program should learn from investigations, monitoring, risk assessments, employee feedback, control failures,…
I recently wrote a five-part blog series on compliance through Michelangelo’s lens. In our Michelangelo Compliance Framework, we used five extraordinary projects to explore five disciplines of the modern compliance…
A business leader calls a Chief Compliance Officer (CCO) difficult after a proposed distributor fails to provide basic ownership information. The transaction is important to the quarter. The CCO has…
A board can have impressive credentials and still lack the experience needed to challenge management on the company’s most significant compliance risks. Directors may understand finance, strategy, and operations in…
A compliance strategic plan should explain how the function will build the capabilities the business needs to manage its risks. That requires choices about priorities, resources, authority, and execution. A…
A sales manager needs one more transaction to meet the quarterly target. The customer has not completed the required approvals, but the manager believes the paperwork will arrive tomorrow. Booking…
The ultimate measure of a compliance program is whether it can constrain the people the organization believes it cannot afford to disappoint. Most compliance programs are designed for ordinary decisions…
The Clippers penalties demonstrate that discipline is not the end of a compliance process. They are a public test of whether rules apply to powerful people. The Clippers investigation demonstrates…
