One of the conventional wisdoms about compliance training is that you will never be able to reach 5% of your workforce with compliance training because
The Evaluation of Corporate Compliance Programs, 2019 Guidance, makes clear that operationalization of compliance into an organization should be done at multiple levels. The 2019
Ed. Note-my series in January, 31 Days to a More Effective Compliance Program, was so popular, I decided to extend it through 2020. Each month,
Due diligence is generally recognized in three levels: Level I, Level II and Level III. Each level is appropriate for a different level of corruption
We previously considered the Prong in the Evaluation that was not present in the Ten Hallmarks of an Effective Compliance Program; that being root cause analysis.
Well known fraud investigator Jonathan Marks, defined a root cause analysis as “a research based approach to identifying the bottom line reason of a problem
Your company has just made its largest acquisition ever and your CEO says they want you to have a compliance post-acquisition integration plan on their
A company that does not perform adequate due diligence prior to a merger or acquisition may face both legal and business risks. Perhaps most commonly,
One of the areas articulated in the 2019 Guidance was around payments and payroll. For the both the compliance professional and the corporate payroll function, there
The role of the compliance professional and the compliance function in a corporation has steadily grown in stature and prestige over the years. When it
