Compliance Beat

As more and more compliance professionals join the ranks from other disciplines, it’s important that we reinforce the role of the US Sentencing Commission, and maybe even more importantly, the public’s role in defining the compliance and ethics standards all of our programs are based on. Listen to a short description of what the Sentencing… The post Sentencing Commission Confidential – Origins of the Hallmarks appeared first on Compliance Beat.

There’s not a lot of data out there to tell us how the Department of Justice or other regulators view compliance initiatives, or what expectations really are. We know what the guidance tells us, but what happens in the real world when a company’s compliance program is looked at? We can get some indications from… The post Sentencing Commission Confidential – Sentencing Data on Organizations appeared first on Compliance Beat.

For this episode Eric dives into the commonly conflated terms “substantial authority personnel” and “high-level personnel” that are defined in the Sentencing Guideline standards for an effective compliance and ethics program. Knowing which is which, and what the expectations are for a compliance program, is very important and not often discussed. Also, check out our… The post Sentencing Commission Confidential – Personnel appeared first on Compliance Beat.

Eric spends a few minutes looking back at CEI’s past — and talking about the threads and new trends in this year’s event. If you are visiting DC this week then come by and see Eric at Booth 106. If not, we hope to see you next time! https://www.corporatecompliance.org/conferences/national/18th-annual-compliance-ethics-institute-2019 “SCCE’s annual Compliance & Ethics Institute… The post 2019 SCCE Compliance and Ethics Institute Preview appeared first on Compliance Beat.

This time Eric is Teresa Troester-Falk to discuss the pending new privacy law from California, potential new laws in several states, and how it relates to GDPR and privacy compliance generally. This is the Second part of a two part conversation. If you haven’t listened to Part I we encourage you to do so. Teresa… The post Privacy Bulletin: A Discussion on Privacy Compliance with Teresa Troester-Falk (PART II) appeared first on Compliance Beat.

This time Eric is Teresa Troester-Falk to discuss the pending new privacy law from California and how it relates to GDPR and privacy compliance generally. This is the first part of a two part conversation. Join us next week for part two. Teresa is Chief Global Strategist for Nymity where she leads some of Nymity’s… The post Privacy Bulletin: A Discussion on the California Consumer Privacy Act and Privacy Compliance with Teresa Troester-Falk (PART I) appeared first on Compliance Beat.

This time, in anticipation for a Sentencing Guideline presentation next month at the SCCE’s CEI in Washington DC, we have another belated edition of Sentencing Commission Confidential. Eric talks about a commonly overlooked or misunderstood part of Chapter Eight of the guidelines that sets out responsibilities for reporting to the Board (or governing authority) of… The post Sentencing Commission Confidential: Who Speaks To The Board? appeared first on Compliance Beat.

This time Eric discusses compliance program assessments – or risk assessments – or program benchmarking – or whatever you want to call the periodic review of your program that the Sentencing Guidelines, USDOJ guidance and best practices call for. Eric discusses three key pieces of the puzzle you might want to consider whether you are… The post Three Key Components for a Compliance Program Assessment appeared first on Compliance Beat.

One of the questions raised by the recent updated USDOJ guidance is the question of “expertise” at or on the board of directors. Eric takes some time this week to discuss the guidance and the practical considerations about expertise in the boardroom. If you are interested in the intersection of compliance and the board of… The post Do We Need Compliance Expertise on the Board? appeared first on Compliance Beat.

One of the areas many compliance teams still struggle with is getting a consistent, effective informal communication plan off the ground. Eric has a few ideas that might help focus informal communication efforts at your organization. Eric talks about being realistic regarding time and resources and thinking strategically about what might reach your audience. The post 3 Tips for an Excellent (Formal) Informal Communication Program appeared first on Compliance Beat.

After a dozen episodes detailing the new guidance, what are some parting thoughts? Eric talks a little about the memo’s impact and potential impact as well as highlighting some of the more important concepts the Department has chosen to highlight. The post New USDOJ Guidance -Conclusion appeared first on Compliance Beat.

In Part 10 of our special series discussing the new memo from the US Department of Justice on compliance expectations, Eric finishes discussing the memo! We will walk through Part III of the memo with a review of “Does the Corporation’s Program Work in Practice?” Check out the memo itself here: https://www.justice.gov/criminal-fraud/page/file/937501/download The post New USDOJ Guidance – Part 10 – Does It Work? appeared first on Compliance Beat.

In Part 9 of our special series discussing the new memo from the US Department of Justice on compliance expectations, Eric finishes discussing Part II of the memo with a review of incentives and discipline expectations. Check out the memo itself here: https://www.justice.gov/criminal-fraud/page/file/937501/download Also, check out Eric “live” in Houston on June 20, 2019 –… The post New USDOJ Guidance – Part 9 – Incentives and Discipline appeared first on Compliance Beat.

In Part 8 of our special series discussing the new memo from the US Department of Justice on compliance expectations, Eric discusses the second topic in Part II of the memo: Autonomy and Resources. Check out the memo itself here: https://www.justice.gov/criminal-fraud/page/file/937501/download Also, please take a look at Ryan McConnell’s comparison review of the new memo… The post New USDOJ Guidance – Part 8 – Resources appeared first on Compliance Beat.

In Part 7 of our special series discussing the new memo from the US Department of Justice on compliance expectations, Eric discusses the first topic in Part II of the memo: Commitment by Management — or tone from the top, middle and everywhere else! Check out the memo itself here: https://www.justice.gov/criminal-fraud/page/file/937501/download Also, please take a… The post New USDOJ Guidance – Part 7 – Management Commitment to Compliance appeared first on Compliance Beat.

In Part 6 of our special series discussing the new memo from the US Department of Justice on compliance expectations, Eric discusses the fifth and sixth topic in Part I of the memo: the “care and feeding” of third parties. Check out the memo itself here: https://www.justice.gov/criminal-fraud/page/file/937501/download Also, please take a look at Ryan McConnell’s… The post New USDOJ Guidance – Part 6 – Third Parties appeared first on Compliance Beat.

In Part 5 of our special series discussing the new memo from the US Department of Justice on compliance expectations, Eric discusses the fourth topic in Part I of the memo: reporting. Check out the memo itself here: https://www.justice.gov/criminal-fraud/page/file/937501/download Also, please take a look at Ryan McConnell’s comparison review of the new memo and the… The post New USDOJ Guidance – Part 5 – Reporting appeared first on Compliance Beat.

In Part 4 of our special series discussing the new memo from the US Department of Justice on compliance expectations, Eric discusses the third topic in Part I of the memo: training and communication. Check out the memo itself here: https://www.justice.gov/criminal-fraud/page/file/937501/download Also, please take a look at Ryan McConnell’s comparison review of the new memo… The post New USDOJ Guidance – Part 4 – Training & Communication appeared first on Compliance Beat.

In Part 3 of our special series discussing the new memo from the US Department of Justice on compliance expectations, Eric discusses the second topic in Part I of the memo: policies and procedures. Check out the memo itself here: https://www.justice.gov/criminal-fraud/page/file/937501/download The post New USDOJ Guidance – Part 3 – Policies and Procedures appeared first on Compliance Beat.

In Part 2 of our special series discussing the new memo from the US Department of Justice on compliance expectations, Eric discusses the first topic in Part I of the memo: risk assessment. Check out the memo itself here: https://www.justice.gov/criminal-fraud/page/file/937501/download The post New USDOJ Guidance – Part 2 – Risk Assessment appeared first on Compliance Beat.