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Harry Cassin
Publisher and Editor

Andy Spalding
Senior Editor

Jessica Tillipman
Senior Editor

Bill Steinman
Senior Editor

Richard L. Cassin
Editor at Large

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

Russell A. Stamets
Contributing Editor

Richard Bistrong
Contributing Editor

Eric Carlson
Contributing Editor

Posts Tagged: Compliance

There is no Covid-19 defense to corruption

We should all anticipate — with optimism but also serious preparation — a post-quarantine return to business, and appreciate that a return to “normal” business will actually mean in practice a period of frenetic efforts to make up for lost time and lost revenue, with accordingly severe demands on compliance professionals.… Continue Reading

The Joker: A surprise compliance hero

The Joker has been adopted as a symbol of rebellion against perceived corrupt power structures worldwide. If one makes the leap to understanding global protest movements as a systemic response to perceived institutional corruption, then it is not so far to see the connection.… Continue Reading

Cannabis-Related Due Diligence: What are the red flags for corruption?

As long as U.S. federal law enforcement priorities remain the same, licensed cannabis operators are unlikely to be prosecuted if they are completely compliant with state laws. However, if the DOJ or state regulators discover that a license was acquired through corrupt means, the license will not provide any protection.… Continue Reading

Ten reasons why compliance fails

During the research for our new book about compliance and ethics, we saw how organizations across the world continue to be damaged and brought down by systemic non-compliance or the misdeeds of a few.… Continue Reading

The importance of setting a good compliance example

Former U.S. Attorney for the Southern District of New York Preet Bharara (Image from YouTube)Preet Bharara gave the morning keynote at the second day of Compliance Week 2019. It was interesting because rather than a speech he did so with a one-hour Q&A format with Allen & Overy partner Gene Ingoglia facilitating the session through the role of the questioner.… Continue Reading

Six common pitfalls and blind spots to avoid when creating compliant organizations

For companies that are serious about being proactive and that see compliance as a competitive advantage rather than a box-ticking exercise, we believe several lessons can be drawn from our background in helping organizations see around unexpected corners — whether those be geopolitical in nature, compliance related or high-stakes security and risk.… Continue Reading

Compliance salaries rise. Is that a good thing?

In a January article in the French financial newspaper Les Echos, entitled “Salaries: compliance can pay big,” journalist Delphine Iweins reported that according to a 2019 compliance compensation study by the French firm Atorus Executive, 35 percent of the responding enterprises are now confident in legal compliance officer and compliance manager positions.… Continue Reading

Zero-tolerance policies are dishonest and damaging

These days, I sometimes begin my classes on corruption with an unusual admission. I announce to my students — who may be judges, police officers, military investigators, bureaucrats or any other variety of public official — that corruption is not a problem removed from me.… Continue Reading

And the big compliance story for 2019 is . . . .

Nearly every corporate anti-bribery violation reveals problems with internal controls.

Again and again SEC enforcement actions describe devious employees who were able to subvert the controls and thereby create slush funds and pay bribes, or controls that were weak to begin with and incapable of detecting or stopping the corrupt actors.… Continue Reading