Doing More with Less: Compliance During Tough Economic Times

I am attending the Global Ethics Summit 2010, hosted by Dow Jones and Ethisphere. Here are my notes, live from this session: Let’s face it: compliance is usually seen as a cost center. While there’s been some good and interesting research about the positive impact on the business of a good ethical culture and brand,

Global Insights into the Anti-Corruption Landscape

I am attending the Global Ethics Summit 2010, hosted by Dow Jones and Ethisphere. Here are my notes, live from this session: Dow Jones Risk & Compliance presents the results of a recent survey of current anti-corruption regulation, emerging trends and the impact on corporations around the world.The speaker was Rupert de Ruig, Managing Director,

Tone at the Top: The Board’s Role

I am attending the Global Ethics Summit 2010, hosted by Dow Jones and Ethisphere. Here are my notes, live from this session: Understanding and supporting a prudent ethical and compliant tone throughout an organization is a core responsibility of the board of directors. Board actions are more transparent than ever to employees, investors, regulators, media

Working Toward a Healthier Organization: Pfizer’s Compliance Program

I am attending the Global Ethics Summit 2010, hosted by Dow Jones and Ethisphere. Here are my notes, live from the session: There are a number of challenges associated with maintaining integrity as a top priority in a highly competitive global business. But sometimes, despite company’s most earnest efforts to effectively implement compliance metrics and

Compliance 2010 – What’s Next?

I am attending the Global Ethics Summit 2010, hosted by Dow Jones and Ethisphere. Here are my notes, live from this session: “New challenges abound amid advancing best practices, not to mention the continually escalating rate of enforcement both by U.S. regulators and overseas officials. What’s on the horizon for compliance? This roundtable discussion comprised

Global Ethics Summit 2010

Today I will be in New York attending the Global Ethics Summit 2010, hosted by Dow Jones and Ethisphere. Assuming I can get an internet connection and power, I will be live-blogging from the summit. If not live, I will try to get my notes published later tonight on the train ride home. Here is

Hiring Lawyers for Employees Under Investigation

Your company comes under investigation and specific employees are implicated. What is the right way to get lawyers for those employees? Assuming the company is picking up the cost of the lawyers, the company usually wants to have some input on the selection. A recent New Jersey case highlighted some of the issues involved for

Compliance Bits and Pieces for February 19

Here are some interesting compliance related stories from the past two weeks. (I reserved last week for my blogoversary.) Details Emerge on SEC Office of Market Intelligence by Bruce Carton in Compliance Week One of the first tools that the Securities Exchange Commission launched after it ushered itself into the Internet era in the mid-1990s

New York City Enacts New Rules for Its Pension Fund Investments

New York City Comptroller John C. Liu announced sweeping changes in the way New York City pension funds make investment decisions. Following the lead of New York state and several other states, New York City is changing how it deals with gifts, campaign contributions and placement agents. Ban on Campaign Contributions Comptroller Liu declines any

Securities Class Actions in Canada

With the winter Olympics going full swing in Canada, I thought I would look to how that country is dealing with securities class actions. NERA Economic Consulting just released their 2009 Update on Trends in Canadian Securities Class Actions. Some tidbits: Eight securities class actions were filed in 2009, compared with the 10 filings in