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
The idea that compliance officers might need or want a union to represent them with management might not seem serious. But’s let’s do our best to have a serious discussion about it anyway.… Continue Reading
Image courtesy of the SCCEI’m going to take an exam to be certified as a compliance professional on April 1. The exam is offered by the Society of Corporate Compliance and Ethics after the SCCE’s European Compliance & Ethics Institute in London.… Continue Reading
I have just finished my fourth year of teaching a course on compliance and the Foreign Corrupt Practices Act created for the Katz Graduate School of Business at the University of Pittsburgh.… Continue Reading
“Compliance is a Business Solution to a Business Problem” could be the motto for second generation compliance, as it leaves behind its origins as a subset of the law department.… Continue Reading
After three decades in the field, I realized at the SCCE tenth annual conference that something new is taking shape. Let’s call it the second generation of compliance.
Compliance 1.0 was an off-shoot of in-house legal work done mostly by lawyers.… Continue Reading
A new survey of chief compliance officers found that 38 percent of those with overall program responsibility report directly to their company’s CEO, while just 18 percent report to the general counsel or chief legal officer.… Continue Reading
The Pulitzer-prize winning NY Times reporter David Barstow famously wrote in 2012 that Walmart was an “aggressive and creative corrupter, offering large payoffs to get what the law otherwise prohibited. It used bribes to subvert democratic governance — public votes, open debates, transparent procedures.… Continue Reading
No one can say they haven’t been warned by the SEC (and the authors of the latest Hughes Hubbard FCPA/Anti-Bribery Alert) not to interfere with compliance officers.
Here’s an excerpt from the Alert about the new effort to protect compliance officers:
Recent statements and actions by the SEC demonstrate that the enforcement agency has adopted a broad strategy of seeking to protect and strengthen the position of compliance officers.… Continue Reading
