The Justice Department’s commitment – resources and public statements – has continued at a steady pace in the Trump Administration.  Some might diminish the effort by recognizing that fraud is so pervasive that it is like shooting fish in a barrel.  In the end, however, criminal cases require investigation, organization, resources and hard work. As you would expect, Florida is a prime geographic target for...

I am definitely an optimist.  Frankly, there is no alternative.  Pessimists, by definition, ensure that the result they fear will occur.  Another way of saying the same thing – karma is destiny. Chief compliance officers see the world in terms of risks – they share a worldview with lawyers who are always asked to examine the worst case scenario.  For some reason, worst case scenarios...

NAVEX Global has issued its Third-PartyBenchmark Report.  (HERE). The NAVEX Global Report contains important insights and data concerning ethics and compliance programs and third-party risk management strategies.  I was pleased to assist NAVEX Global in preparing the 2018 Benchmark Report. Knowing how to appropriately define, screen and monitor your third parties is essential to minimizing risk. New industry benchmarks, along with the expert guidance provided in...

November 8, 2018 Sign Up HERE NAVEX Global has announced  its annual Ethics and Compliance Virtual Conference.   The schedule of sessions and speakers is here. The ECVC is the world’s largest compliance-focused conference. Created for professionals across Ethics and Compliance, Legal, Human Resources, Audit, Risk Management and Corporate Training, this online event is your best resource to learn the top issues and best practices affecting your...

The Treasury Department’s Office of Foreign Asset Control (“OFAC”) announced its third enforcement action for 2018.  While OFAC has been busy with implementing new sanctions regimes and re-imposing the Iran sanctions regime, OFAC is beginning to clear some of the enforcement matters that have been pending. JP Morgan Chase agreed to a $5.2 million settlement with OFAC for 87 apparent violations from the processing of...

Karin Sweigart rejoins us for another interesting posting on employment compliance issues.  Karin can be contacted at [email protected]. It is estimated about half of the United States’ 1.5 million internships a year are unpaid, a number that may go up due to changes in the Department of Labor’s (DOL) rules governing unpaid internships. Implemented in 2018, the updated rules provide for-profit companies more flexibility to...

Compliance officers have a difficult job. So why are so many people interested in joining the profession? At bottom, compliance professionals are inspirational professionals and inspired by their mission.  Compliance officers have a mission – to embed and promote a culture of ethics and compliance. When you boil it down, every compliance officer is dedicated to two specific missions: to embed and protect its culture,...

I have a tendency to sound like a “broken record” (an odd phrase in these days of digital music).  The government’s most powerful enforcement tool continues to be – drumroll please, the False Claims Act.  The government “always” (or in most cases) wins.  Defendants are rarely willing to risk exclusion from valuable federal healthcare programs or defense contracts.  When the government brings a case, the...

Karin Sweigart, a Senior Associate at The Volkov Law Group, rejoins us for a posting on employees and political activity.  Karin can be reached at [email protected]. It is October in an election year, and political tensions are running high. If political discourse in your place of business has been heated, it may be a good time for a refresher on laws governing what private employers...

Webinar: The State of Third-Party Risk Management in 2018 Date: Tuesday, October 16 Time: 1:00 PM/ET/10:00 AM PT Duration: 60 minutes Sign Up HERE Over half of organizations leave themselves open to risk with an ineffective or non-existent third-party risk management program. That’s shocking given the damage a third party can inflict! To improve or get started on your third-party risk management program, join this...