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Three Elements in a Culture of Compliance: Part I

2016-12-28T13:21:44-07:00February 13th, 2014|Compliance Blog|

Continuous Communication A company that only deals with problems as they become obvious is setting itself up for failure and can result in a climate of putting out fires instead of preventing them. Employees are most successful at being compliant when they are frequently reminded of the reasons for these compliance policies and the protections [...]

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HIPAA rules apply to business

2016-12-28T13:21:45-07:00September 23rd, 2013|Compliance Blog, HIPAA|

The grace period is over. While health care providers and health plans were already following the Health Insurance Portability Accountability Act (HIPAA) now, as of October 1, 2013 business associates who work with patient health information must also legally follow the rules. The Health Insurance Portability and Accountability Act of 1996, also known as HIPPA, [...]

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What’s your social media policy?

2016-12-28T13:21:45-07:00September 3rd, 2013|Compliance Blog|

Does your company have a social media policy? Does the policy explain how and when to use social media? Are employees allowed to utilize social media during working hours? A recent survey found more than 20% of companies surveyed did not have a social media policy, and almost 30% said they didn't know if their [...]

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Train the Trend

2016-12-28T13:21:45-07:00June 27th, 2013|Compliance Blog|

  Adapt training for multiple generations.   As a corporate trainer or training developer you may have heard how the demographics of the workplace is changing and will continue to change as the Baby Boomer generation retires and the Millennial generation enters the work force. In May 2010, Harvard Business Review stated, “The makeup of [...]

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Private Equity is vulnerable to compliance risk

2016-12-28T13:21:45-07:00April 19th, 2013|Compliance Blog|

Private Equity is at Risk. If you ever hear someone say, "We're a private company so we don't need to worry about risk and compliance," you may gently let them know they are mistaken. Private equity firms have the same risk as public companies because they need to follow international laws just like everyone else. [...]

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Ex-KPMG Scott London Faces the FBI, the SEC, and the DOJ

2016-12-28T13:21:45-07:00April 11th, 2013|Compliance Blog|

Insider Trading? Face the FBI, SEC, and DOJ. Imagine... you are in a conference room filled with FBI agents, SEC authorities and DoJ prosecutors and they demand to know the details about a friendship you made at a golf club. Overwhelming isn't it? How about being faced with Federal criminal and civil charges for sharing [...]

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Whistleblower Non-Retaliation

2016-12-28T13:21:45-07:00April 6th, 2013|Compliance Blog|

Whistleblower Policy and Non-Retaliation. A big part of building a culture of compliance is to establish clear guidance for employees and third parties to report suspicions of wrong doing. The employee is more likely to report corruption if they believe they will remain anonymous and there is no possibility of any retaliation to a valid [...]

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Third Party Due Diligence

2016-12-28T13:21:46-07:00April 6th, 2013|Compliance Blog|

Foreign Agent Activity. Many companies doing business in a foreign country retain a local individual or company to help them conduct business. Although these foreign agents may provide entirely legitimate advice regarding local customs and procedures and may help facilitate business transactions, companies should be aware of the risks involved in engaging third-party agents or [...]

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Does your Compliance Program have Adequate Resources?

2016-12-28T13:21:46-07:00April 4th, 2013|Compliance Blog|

What is Adequate? In appraising a compliance program, the DOJ and SEC consider whether a company has sufficient resources to ensure the company’s compliance program is implemented effectively. When it comes to compliance, there is no one-size-fits-all program. Adequate resources may be measured in different ways. Companies may consider a variety of factors when determining what is [...]

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What’s your Tone at the Top?

2016-12-28T13:21:46-07:00April 4th, 2013|Compliance Blog|

Tone at the Top. The top of the organization must actively encourage a compliant culture through out the organization. Managers and employees at all levels must be aware of the executive expectation to discourage pure profit over compliance with laws and regulations. Within a business organization, compliance begins with the board of directors and senior [...]

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