Legal
How do You Evaluate a Risk Assessment?
September 29, 2011 Added by:Thomas Fox
The key to the Timken approach is the action steps prescribed by their analysis. This is another way of saying that the risk assessment informs the compliance program, not vice versa. This is the method set forth by the US Department of Justice in its Compliance Program best practices...
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Compliance Champions: People Solving Problems
September 20, 2011 Added by:Thomas Fox
One of the goals of such a Compliance Champion program is to train employees to be your first line of compliance people on the ground, both to respond to routine queries and to alert the Legal/Compliance Department if a problem needs to be escalated...
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What the Law Says about Distributing a Virus or Malware
September 20, 2011 Added by:Craig S Wright
It is probable a service provider or content hosting entity will face a degree of liability dependent on intention. If malware is intentionally posted such as in the Morris’ case, no uncertainty as to whether the conception and insertion of the malware was deliberate exists...
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Blumenthal Bill Bumps Up Fines for Security Breaches
September 18, 2011 Added by:David Navetta
Richard Blumenthal (D-CT) introduced bill that would levy significant penalties for identify theft and other “violations of data privacy and security,” criminalize software that collects “sensitive personally identifiable information” without clear and conspicuous notice and consent...
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Using HR to Change your Company’s Compliance DNA
September 17, 2011 Added by:Thomas Fox
What type of training should HR utilize in the compliance and ethics arena? The consensus seems to be that there are three general approaches which have been used successfully. The first is the most traditional and that is classroom training. A key role for HR in any company is training...
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NLRB Report Reviews Social Media Enforcement Actions
September 13, 2011 Added by:David Navetta
The Associate General Counsel of the NLRB issued a report analyzing the Board’s recent social media enforcement actions. The report seeks to provide guidance to employers that want to ensure that their social media policies appropriately balance employee rights and company interests...
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Supreme Court: Warrantless GPS Tracking and the 4th Amendment
September 12, 2011 Added by:Stephen Gantz
A recent New York Times article calls United States v. Jones "the most important 4th Amendment case in a decade" and invokes comparisons of the government's efforts to use comprehensive surveillance technologies to the "Big Brother" state described in George Orwell's 1984...
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How to Engage Employees in Compliance
September 05, 2011 Added by:Thomas Fox
A compliance professional should see him or herself as a catalyst for problem solving. As a lawyer I understand that you are required to know law and compliance requirements. But remember - it is OK not to know everything. That is the whole point of collaboration...
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The Benefits of Investigating Employee Complaints
August 29, 2011 Added by:Thomas Fox
Encouraging internal reporting helps you detect misconduct in its earlier stages. The sooner you investigate, the sooner you put an end to the misconduct reported. For fraud cases, this is particularly important, as stopping fraud sooner results in less money lost...
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End of the Annual Compliance Training Flea Dip
August 25, 2011 Added by:Thomas Fox
Compliance and ethics training should be integrated into more routine employee training rather than stand along compliance and ethics training. The more innovative component of Nortz’s suggestions revolves around employee involvement and follow up...
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Mobile Application Settles With FTC on COPPA Violations
August 21, 2011 Added by:David Navetta
The FTC alleged that the company’s apps were directed to children and that the applications therefore violated COPPA and the FTC’s COPPA Rule by collecting and disclosing personal information from children without their parents’ prior consent...
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Gap Analysis in Supply Chain Management
August 17, 2011 Added by:Mary Shaddock Jones
In many industries, international trade is more of a necessity than a luxury. The ability of a company to compete and financially grow in a particular industry may depend upon tailoring a program to buy and sell goods and services from and to companies and consumers in other countries...
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Who Should Handle Serious Internal Investigations?
August 16, 2011 Added by:Thomas Fox
If a regulatory authority, such as the SEC or DOJ cannot rely on a company’s internal investigation, it may perform the investigation with its own personnel. Further, these regulators may believe that the company has engaged in a cover-up. This is certainly not the way to buy credibility...
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Casey Jones - or How to Stop a Compliance Train Wreck
August 12, 2011 Added by:Thomas Fox
The evaluation of C-Suite leadership can be problematic in the best of times. The C-Suite can be an active part of the problem. While not FCPA violations, the criminal prosecutions at the highest echelon at Enron, WorldCom and Adelphia certainly speak to ethical lapses at the top...
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Are Hijacked Facebook Accounts Identity Theft?
August 08, 2011 Added by:Kelly Colgan
An interesting Appellate Court opinion was recently issued that requires us to acknowledge the expanding realm of our own identity footprints and the need for evolving views of how we define identity theft. The case stemmed from a Juvenile Court case in Kings county California...
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How Cyrano de Bergerac Portends the Compliance Assessment
August 06, 2011 Added by:Thomas Fox
Enhanced Compliance Obligations build upon concepts which have been articulated for some time. By utilizing the annual compliance assessment a company more nimbly move towards a best practices program by determining if it currently has these concepts incorporated into the program...
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